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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 | 2020-06-19 |
Branch Locations
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-12 |
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