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1026 Cromwell Bridge Road Suite 100, Towson, MD 21286 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-01-02 |
| WI | RA | APPROVED | 2021-05-10 |
Branch Locations
W67 N222 Evergreen Blvd Suite 204, Cedarburg, WI 53012 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Woodbury Financial Services, Inc. | Cedarburg | WI | 01/2012 | 04/2021 |
| Founders Financial Securities Llc | Towson | MD | 05/2021 | Present |
| Herkert & Associates Inc. | Cedarburg | WI | 01/2012 | Present |
1) Associated Person of Founders Financial Securities, LLC., a broker-dealer and investment adviser located at 1026 Cromwell Bridge Road Suite 100 Towson, MD 21286. Investment Related. Associated Person uses FFS and DBA name for investment sales. Employee also doing business as 1. HERKERT AND ASSOC, Inc. ; DBA name for investment and insurance sales Address: W67 N222 Evergreen Blvd, Suite 204, Cedarburg WI 53012;independent agent for life insurance sales ; INSURANCE AND INVESTMENT SALES' START DATE: 01/2012; 10 HOURS/MONTH; INVESTMENT RELATED 2. Executor and trustee of multiple estates; Not investment related; Estate; W67 N222 Evergreen Blvd, Suite 204 Cedarburg, WI 53012; Start Date: 2/2024; 2 Hours/Month; 0 during trading; Description of Duties: Personal Representative/Trustee/ Executor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2012-02-23 |
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