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Elaine Harlost

CRD# 2877645·Registered 1997 - 2020
Previously Registered: Being a previously registered professional could mean that Elaine 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

Elaine Harlost, who also goes by Elaine Catherine Harlost, was a registered financial advisor. Elaine was a previously registered financial professional and started their career in finance 1997 - 2020. Elaine had worked at 6 firms and has passed the Series 63, SIE and Series 7 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

Elaine Catherine Harlost

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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

29 years in the financial services industry

Current & Past Employments

USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
Phoenix, AZ
March 5, 2020 - May 13, 2020
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Phoenix, AZ
October 2, 2006 - December 3, 2019
OSAIC SERVICES, INC.·CRD# 133763
BD
Scottsdale, AZ
October 31, 2005 - September 21, 2006
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
April 27, 2005 - October 31, 2005
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
November 21, 2001 - May 12, 2005
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
April 23, 2001 - June 5, 2001
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
May 15, 1997 - June 15, 2000

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Current Firm

UF
USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: 8-66197
BD
Terminated by SEC on 08/29/2020

Contact Information

Established

Delaware since 07/15/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.SHAREHOLDER—
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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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.

Exams

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

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1997About the Series 7 exam

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CRS (Client Relationship Summary)

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

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