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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
NC RA APPROVED 2016-07-14
  • NC RA
    APPROVED
    Since 2016-07-14

Branch Locations

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

1213 Culbreth Drive Suite 130, Wilmington, NC 28405 • 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
Lpl Financial, Llc Wilmington NC 02/2016 Present
Founders Financial Alliance, Llc Wilmington NC 03/2016 Present
Previous Registrations
  • 2009-08-14 → 2016-03-01
    Invest Financial Corporation
    Greenville, NC
    Wilmington, NC
  • 2008-11-10 → 2009-08-17
    Uvest Financial Services Group, Inc.
    Washington, NC
Other Businesses

1. 3/14/2016: Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 2/15/2016 - 80 Hours Per Month/3.5 Hours During Securities Trading - Time Spent 50%. 2. 02/06/2018 - Founders Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 02/01/2018 - 10 Hours Per Month/10 Hours During Securities Trading. 3. 03/13/2018 - Founders Financial Alliance LLC - DBA: Founders Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 01/10/2018 - 4 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity on 3/13/2018. I expect to spend approximately 4 hours/month on this activity. Please see the advisory firms 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-07
  • S66 Uniform Combined State Law Examination
    2008-11-07
Other Names
  • Trina Love Sebben

View on SEC IAPD

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