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Loretta Ann Harris

CRD# 1934099·Registered 2009 - 2024
Previously Registered: Being a previously registered professional could mean that Loretta is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Loretta Ann Harris, who also goes by Lory A Harris, Lory Harris, Loretta A Harris, was a registered financial advisor. Loretta was a previously registered financial professional and started their career in finance 2009 - 2024. Loretta had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Lory A Harris, Lory Harris, Loretta A Harris

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

HIGHPOINT PLANNING PARTNERS·CRD# 316636
RIA
St. Charles, IL
December 8, 2021 - December 31, 2024
HIGHPOINT PLANNING PARTNERS·CRD# 163768
RIA
St. Charles, IL
August 21, 2017 - December 31, 2021
LPL FINANCIAL LLC·CRD# 6413
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St. Charles, IL
June 25, 2015 - November 6, 2017
LPL FINANCIAL LLC·CRD# 6413
BD
St. Charles, IL
June 22, 2015 - January 9, 2025
WORLD EQUITY GROUP, INC.·CRD# 29087
BD
Geneva, IL
April 20, 2009 - March 31, 2014

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Current Firm

HP
HIGHPOINT PLANNING PARTNERS

ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | TMS WEALTH LLC | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MURPHY WEALTH MANAGEMENT | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP, LLC | KELLER PETERSON WEALTH ADVISORS, LLC | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | C|E|F ADVISORS GROUP | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC

CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - SEC (10/29/2021 Approved)

Contact Information

Main Address

2651 Warrenville Road Suite 200, Downers Grove, IL 60515

Phone Number

(630) 719-9222

# of Employees

106

SEC notice filing (46 States and Territories)

Registered to provide investment advisory services in 46 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HPAG ADV PART 2A APPENDIX 1 - WRAP PROGRAM BROCHURE (3/27/2026)

Regulatory Assets Under Management

Total Number of Accounts

15,742

AUM (Assets Under Management)

$4,783,000,000

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 05/18/2015 - ONPATH FINANCIAL LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - admin 2. 05/18/2015 - CBIII DESIGN INC. - BUSINESS OWNER - INV REL - At Reported Business Location(s) - Start 01/01/2002 - VICE PRESIDENT, DESIGN RESIDENTIAL HOUSING, BLUEPRINTS - 40% Time Spent 3. 05/18/2015 - HIGHPOINT ADVISOR GROUP - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - admin 4. 07/18/2016 - No Business Name - Author - NOT INV REL - 2035 Forest Ridge Rd., St. Charles, IL 60174 - Start 08/01/2016 - Author of a family history memoir. No employees and does not share office space with securities business. - 25 Hr/Mo; 12 Hours During Securities Trading 5. 6/8/2017 - OnPath Financial LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/02/2014 - 110 Hours Per Month During Securities Trading. 6) 08/22/2017 -Highpoint Advisor Group, LLC-investment related- At reported business location(s)-Registered Investment Advisor Hybrid-start 03/03/2014-Hours per month 110/ hours during trading 110-I provide investment advisory services through Highpoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in August 2017. I expect to spend approximately 110 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7) 09/06/2017-Highpoint Advisor Group, LLC-Investement related-At reported business location(s)-Registered Investment Advisor Hybrid-IAR-start 03/03/2014-Hours per month 110/hours during trading 110-I provide investment advisory services through Highpoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in September 2017. I expect to spend approximately 110 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HP
HIGHPOINT PLANNING PARTNERS

ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | TMS WEALTH LLC | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MURPHY WEALTH MANAGEMENT | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP, LLC | KELLER PETERSON WEALTH ADVISORS, LLC | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | C|E|F ADVISORS GROUP | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC

CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - SEC (10/29/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2015About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2011About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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LH
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