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Current Employers
Founders Financial Alliance, Llc

9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2020-08-25
WV RA APPROVED 2020-08-25
  • OH RA
    APPROVED
    Since 2020-08-25
  • WV RA
    APPROVED
    Since 2020-08-25

Branch Locations

1320 National Road, Wheeling, WV 26003 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-10
  • S66 Uniform Combined State Law Examination
    2001-04-10

View on SEC IAPD

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