VH
Vivian R. Houghland
VALIC FINANCIAL ADVISORS
NASHVILLE , TN 37203
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CRD#: 2627605
VH
Professional summary
Vivian Rene Houghland, who also goes by Rene Houghland Ward, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Nashville , Tennessee.
Vivian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Vivian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rene Houghland Ward
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.
2200 HARDING PLACE HOMEOWNERS' ASSOCIATION. 2200 HARDING PLACE, 4 NASHVILLE, TN 37215. NON-INVESTMENT RELATED. COMMENCED THIS ACTIVITY 1/1/2009. TREASURER, PAYING VENDORS, BALANCING ACCOUNTS, COLLECTING DUES, FILING INCORPORATION DOCUMENTS AND TAXES. PREPARE ONE OR TWO REPORTS PER YEAR FOR THE ASSOCIATION.LESS THAN 1%, APPROX 3 HOURS/MONTH IS SPENT ON THIS ACTIVITY NONE DURING SECURITIES TRADING HOURS. NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2015 ADDRESS: 2200 Harding Place, 4, Nashville TN 37215, United States DESCRIPTION: Notarize occasional client documents. AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Vivian Rene Houghland's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vivian Rene Houghland's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2011 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1 Music Circle North Suite 400, Nashville , TN 37203RIA
BD
CRD#: 42803
NASHVILLE , TN
Current
July 26, 2011 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1 Music Circle North Suite 400, Nashville , TN 37203RIA
BD
CRD#: 42803
NASHVILLE , TN
Past
December 17, 2009 - July 28, 2011
&PARTNERS
RIA
CRD#: 3767
NASHVILLE, TN
Past
December 17, 2009 - July 28, 2011
&PARTNERS
BD
CRD#: 3767
NASHVILLE, TN
Past
January 20, 2004 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BRENTWOOD, TN
Past
July 1, 2003 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BRENTWOOD, TN
Past
December 15, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 29, 1995 - January 10, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/11/2015)
IAR
Alabama(8/24/2018)
RR
Arizona(9/16/2024)
IAR
Arizona(9/27/2024)
RR
Arkansas(4/22/2020)
IAR
Arkansas(4/22/2020)
RR
California(7/30/2018)
IAR
California(7/31/2018)
RR
Colorado(10/18/2022)
RR
Florida(4/22/2020)
IAR
Florida(4/23/2020)
RR
Georgia(9/23/2020)
IAR
Georgia(10/5/2020)
RR
Indiana(3/6/2024)
IAR
Indiana(3/7/2024)
RR
Kansas(4/22/2020)
RR
Kentucky(4/3/2019)
IAR
Kentucky(4/3/2019)
RR
Louisiana(1/13/2023)
RR
Minnesota(9/23/2020)
IAR
Minnesota(9/24/2020)
RR
Mississippi(10/18/2022)
IAR
Mississippi(10/24/2022)
RR
Missouri(3/1/2021)
RR
Nebraska(2/12/2025)
IAR
Nebraska(2/12/2025)
RR
New Mexico(10/18/2022)
IAR
New Mexico(10/19/2022)
RR
New York(12/16/2020)
IAR
New York(8/16/2021)
RR
North Carolina(10/18/2022)
IAR
North Carolina(10/19/2022)
RR
Ohio(4/22/2020)
RR
Oklahoma(3/14/2024)
IAR
Oklahoma(3/18/2024)
RR
Pennsylvania(10/18/2022)
IAR
Pennsylvania(10/19/2022)
RR
South Carolina(11/29/2021)
IAR
South Carolina(11/30/2021)
RR
Tennessee(7/26/2011)
IAR
Tennessee(8/22/2011)
RR
Texas(12/26/2017)
IAR
Texas(1/2/2018)
RR
Virginia(3/2/2018)
IAR
Virginia(3/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
Red Flags
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.
