Lori B. Givens

ALIGN FINANCIAL ADVISORS

MCKINNEY, TX 75070

Some features on this profile are disabled

CRD#: 6145137

Professional summary

Lori Beth Givens, AIF®, CFP®, who also goes by Lori Givens, Lori Beth Sandt, is a registered financial advisor currently at ALIGN FINANCIAL ADVISORS, LLC located in Mckinney, Texas.

Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Lori has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Givens | Lori Beth Sandt

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) LORI GIVENS - INSURANCE AGENT - NON-VARIABLE INSURANCE - MCKINNEY, TX - SINCE 03/2014 - INVESTMENT RELATED 2) KOELLING & ASSOCIATES, INC - BOARD MEMBER - INDUSTRIAL SUPPLIES COMPANY - DALLAS, TX - SINCE 07/2018 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Beth Givens'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

December 6, 2024 - Present

ALIGN FINANCIAL ADVISORS, LLC

Office #1: 6401 Eldorado Pkwy Suite 420, Mckinney, TX 75070

RIA

CRD#: 333905

MCKINNEY, TX

Past

February 10, 2021 - October 29, 2024

WHEAT GIVENS FINANCIAL, LLC

RIA

CRD#: 114258

MCKINNEY, TX

Past

July 31, 2014 - October 29, 2024

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

MCKINNEY, TX

Past

July 13, 2013 - December 31, 2020

WHEAT GIVENS FINANCIAL, LLC

RIA

CRD#: 114258

MCKINNEY, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(12/6/2024)

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

State Security Law Exam

Series 63

Date: 8/26/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/12/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2022

General Securities Principal Examination

Current Firm

ALIGN FINANCIAL ADVISORS, LLC

CRD#: 333905 / SEC#: 801-131581

RIA

Registered Investment Advisory firm - (9/23/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6401 Eldorado Pkwy Suite 420, Mckinney, TX 75070

Mailing Address

Phone number

(214) 519-8750

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALIGN FINANCIAL ADVISORS - ADV 2A (7/31/2025)

ALIGN FINANCIAL ADVISORS - ADV 2B (6/3/2025)

Regulatory assets under management

Total Number of Accounts	254
AUM (Assets Under Management)	$ 61,109,576

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.

Similar Advisors

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

Brett Phillips

VOYA FINANCIAL ADVISORS, INC.

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lori B. Givens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Beth Givens's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHEAT GIVENS FINANCIAL, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

WHEAT GIVENS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/2014

Series 65

Date: 7/12/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2014

Series 24

Date: 8/17/2022

Current Firm

ALIGN FINANCIAL ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors