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Founders Financial Alliance, LLC CRD 173011
$1.19B regulatory AUM 1 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2018-06-24 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pinehurst | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pinehurst | NC | 11/2016 | 05/2018 |
| Founders Financial Alliance, Llc | Pinehurst | NC | 05/2018 | Present |
PINECREST HIGH SCHOOL, NOT INV REALATED, PINEHURST, NC, VARSITY LACROSSE COACH, START 1/26/2018, 40 HOURS PER MONTH, ZERO DURING TRADING, COACH LACROSSE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1990-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-14 |
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