Sallie L. Harborth

MISSIONSQUARE RETIREMENT

Kingsbury, TX

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CRD#: 3246449

Professional summary

Sallie Lorraine Harborth, who also goes by Sallie Lorraine Little, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Kingsbury, Texas and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Sallie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sallie has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sallie Lorraine Little

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.

San Antonio Livestock Auction Committee. Non-investment related. Member of the committee. Raise money throughout the year to support students when they sell their agriculture projects at the San Antonio Livestock Show and Rodeo. Attend meetings, solicit donors, help host the annual auctions. Start date: 08/01/2017. Devote three hours a month; zero during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sallie Lorraine Harborth's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 4, 2019 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Kingsbury, TX

Current

January 4, 2019 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

October 8, 2018 - December 7, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

San Marcos, TX

Past

April 7, 2016 - October 2, 2018

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

February 25, 2016 - October 2, 2018

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

AUSTIN, TX

Past

December 23, 2010 - August 13, 2014

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

HOUSTON, TX

Past

December 23, 2010 - August 13, 2014

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

HOUSTON, TX

Past

October 3, 2001 - September 9, 2010

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

CASTROVILLE, TX

Past

July 12, 1999 - August 23, 2001

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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.

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

IAR

Arkansas
(11/7/2024)

IAR

Colorado
(11/13/2024)

IAR

Louisiana
(10/30/2024)

IAR

New Mexico
(11/13/2024)

IAR

Oklahoma
(10/31/2024)

Texas
(1/4/2019)

IAR

Texas
(1/4/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/6/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/24/2024

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Sallie L. Harborth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sallie Lorraine Harborth's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

INDEPENDENT FINANCIAL PARTNERS

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

FARMERS FINANCIAL SOLUTIONS, LLC

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2016

Series 63

Date: 7/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/9/1999

Series 26

Date: 5/24/2024

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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