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9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-08-25 |
| WV | RA | APPROVED | 2020-08-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Wheeling | WV | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Wheeling | WV | 11/2016 | 08/2020 |
| Lpl Financial Llc | Wheeling | WV | 08/2020 | Present |
| Founders Financial Alliance, Llc | Wheeling | WV | 08/2020 | Present |
1. 8/17/2020 - DeFranco Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/8/2020 - Founders Financial Alliance LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/2020 - 157 Hours Per Month/39 Hours During Securities Trading - Time Spent 98% - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 157 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 9/8/2020 - Founders Financial Alliance LLC - DBA: (Hybrid) DeFranco Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 08/2020 - 157 Hours Per Month/39 Hours During Securities Trading - Time Spent 98% - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 157 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 03/22/2022 - Founders Financial Alliance LLC.- DBA: DeFranco Financial LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 01/01/2022 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 3/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 04/29/2022 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 04/05/2022 - 2 Hours Per Month/ 1 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-10 |
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