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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 2020-06-19
  • NC RA
    APPROVED
    Since 2020-06-19

Branch Locations

9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • 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
Ubs Financial Services Inc Raleigh NC 05/2011 06/2020
Lpl Financial Llc Raleigh NC 06/2020 Present
Founders Financial Alliance, Llc Raleigh NC 06/2020 Present
Previous Registrations
Other Businesses

1. 6/11/2020 - Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 5/21/2020 - 50 Hours Per Month/8 Hours During Securities Trading - Time Spent 33%. 2. 6/30/2020 - Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/21/2020 - 50 Hours Per Month/8 Hours During Securities Trading - Time Spent 33% - I provide investment advisory services through Founders Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2020. I expect to spend approximately 50 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. 6/30/2020 - Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/21/2020 - 50 Hours Per Month/8 Hours During Securities Trading - Time Spent 33% - I provide investment advisory services through Founders Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2020. I expect to spend approximately 50 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. 11/5/2020 - Elite Wealth Management, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 11/02/2020 - 50 Hours Per Month/10 Hours During Securities Trading - LLC is designed for business/tax mitigation purposes. 5. 5/20/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 6/11/2020 - 1 Hours Per Month/1 Hours During Securities Trading - Work with Financial Strategies Group, LLC for client related insurance solutions.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-12
  • S66 Uniform Combined State Law Examination
    2007-07-12

View on SEC IAPD

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