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Detailed Report
VIVIAN RENE HOUGHLAND
RENE HOUGHLAND WARD
CRD#: 2627605
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 1 MUSIC CIRCLE NORTH
SUITE 400
NASHVILLE , TN 37203
Registration History
19952000200520102015202020252 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (13 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2008 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 2001 (5 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2004 - 2008 (4 years)
License(s)

State Registrations

B
Alabama 5/11/2015
B
Missouri 3/1/2021
IA
Alabama 8/24/2018
B
Nebraska 2/12/2025
B
Arizona 9/16/2024
IA
Nebraska 2/12/2025
IA
Arizona 9/27/2024
B
New Mexico 10/18/2022
B
Arkansas 4/22/2020
IA
New Mexico 10/19/2022
IA
Arkansas 4/22/2020
B
New York 12/16/2020
B
California 7/30/2018
IA
New York 8/16/2021
IA
California 7/31/2018
B
North Carolina 10/18/2022
B
Colorado 10/18/2022
IA
North Carolina 10/19/2022
B
Florida 4/22/2020
B
Ohio 4/22/2020
IA
Florida 4/23/2020
B
Oklahoma 3/14/2024
B
Georgia 9/23/2020
IA
Oklahoma 3/18/2024
IA
Georgia 10/5/2020
B
Pennsylvania 10/18/2022
B
Indiana 3/6/2024
IA
Pennsylvania 10/19/2022
IA
Indiana 3/7/2024
B
South Carolina 11/29/2021
B
Kansas 4/22/2020
IA
South Carolina 11/30/2021
B
Kentucky 4/3/2019
B
Tennessee 7/26/2011
IA
Kentucky 4/3/2019
IA
Tennessee 8/22/2011
B
Louisiana 1/13/2023
B
Texas 12/26/2017
B
Minnesota 9/23/2020
IA
Texas 1/2/2018
IA
Minnesota 9/24/2020
B
Virginia 3/2/2018
B
Mississippi 10/18/2022
IA
Virginia 3/5/2018
IA
Mississippi 10/24/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
1 MUSIC CIRCLE NORTH SUITE 400, NASHVILLE , TN 37203
Registered with this firm since 8/22/2011
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
1 MUSIC CIRCLE NORTH SUITE 400, NASHVILLE , TN 37203
Registered with this firm since 7/26/2011
Previous Registration(s)
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IA
 12/17/2009 - 07/28/2011 WILEY BROS.-AINTREE CAPITAL, LLC (CRD#:3767) NASHVILLE, TN
B
 12/17/2009 - 07/28/2011 WILEY BROS.-AINTREE CAPITAL, LLC (CRD#:3767) NASHVILLE, TN
IA
 01/20/2004 - 01/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BRENTWOOD, TN
B
 07/01/2003 - 01/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BRENTWOOD, TN
B
 12/15/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 06/29/1995 - 01/10/2001 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.