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9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Wilmington | NC | 02/2016 | Present |
| Founders Financial Alliance, Llc | Wilmington | NC | 03/2016 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-07 |
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