LH
Loren L. Harris
VALIC FINANCIAL ADVISORS
Linthicum Heights, MD 21090
Some features on this profile are disabled
CRD#: 4719896
LH
Professional summary
Loren Lamont Francis Harris is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Linthicum Heights, Maryland.
Loren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Loren has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Uber Technologies 1455 Market Street San Francisco, CA 94103 non-investment related business Independent Driver/Driving Services August 2016 - 15-20 hours monthly, evenings/weekends 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 MVH DEVELOPMENT POSITION: Partner NATURE: Management Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 20 South Charles Street, Suite 403, M/S #860, Baltimore MD 21201, United States DESCRIPTION: The LLC is my wife's to operate her career independently, while my partner role is primarily for succession purposes (we have a child, home, etc.). I plan to continue my help her with technology maintenance and editing her proposals; both on a part-time basis as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Loren Lamont Francis Harris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Loren Lamont Francis Harris'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
April 28, 2014 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1201 Winterson Road Suite 130, Linthicum Heights, MD 21090RIA
BD
CRD#: 42803
Linthicum Heights, MD
Current
April 21, 2014 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 1201 Winterson Road Suite 130, Linthicum Heights, MD 21090RIA
BD
CRD#: 42803
Linthicum Heights, MD
Past
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
KENMORE, WA
Past
October 1, 2012 - April 9, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
KENMORE, WA
Past
August 2, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
EVERETT, WA
Past
August 2, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
EVERETT, WA
Past
May 25, 2009 - July 30, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
EVERETT, WA
Past
May 20, 2009 - July 30, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
EVERETT, WA
Past
October 27, 2004 - January 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SEATTLE, WA
Past
October 27, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 27, 2004 - January 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SEATTLE, WA
Past
June 29, 2004 - September 16, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BELLEVUE, WA
Past
April 20, 2004 - September 16, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
January 15, 2004 - February 5, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 15, 2004 - February 5, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(4/21/2014)
RR
Delaware(5/16/2014)
IAR
Delaware(5/16/2014)
RR
District of Columbia(5/29/2014)
IAR
District of Columbia(6/3/2014)
RR
Maryland(4/22/2014)
IAR
Maryland(4/28/2014)
RR
Texas(10/7/2020)
IAR
Texas(10/8/2020)
RR
Virginia(5/16/2014)
IAR
Virginia(5/16/2014)
Exams
State Security Law 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.
