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Current Employers
Foundations Investment Advisors Llc

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2017-03-06
  • MD RA
    APPROVED
    Since 2017-03-06

Branch Locations

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

1425 Liberty Road Suite 200, Eldersburg, MD 21784 • United States

Odenton, MD • 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
Summit Financial Services Bowie MD 06/1998 Present
Riversource Wealth Managment, Llc Waynesville NC 11/2010 03/2017
Foundations Investment Advisors, Llc Scottsdale AZ 03/2017 Present
  • 06/1998 → Present
    Summit Financial Services
    Bowie, MD
  • 11/2010 → 03/2017
    Riversource Wealth Managment, Llc
    Waynesville, NC
  • 03/2017 → Present
    Scottsdale, AZ
Previous Registrations
  • 2010-11-16 → 2017-03-31
    River Source Wealth Management, Llc
    Waynesville, NC
  • 2006-10-25 → 2010-11-02
    Wrp Investments, Inc.
    Bowie, MD
  • 2005-10-04 → 2006-10-26
    Ada, MI
    Bowie, MD
  • 2004-08-20 → 2005-09-30
    Investors Capital Corp.
    Bowie, MD
  • 2004-07-27 → 2004-12-31
    Eastern Point Advisors Inc.
    Bosie, MD
Other Businesses

SUMMIT FINANCIAL SERVICES; IT IS INVESTMENT RELATED; 6915 LAUREL-BOWIE RD, STE 200, BOWIE, MD 20715; PROVIDES FIXED LIFE INSURANCE AND ANNUITY SOLUTIONS; AGENT; SINCE 2005; SPENDS APPROXIMATELY 80 HOURS PER MONTH DURING MARKET TRADING HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-06
S63 Uniform Securities Agent State Law Examination 1992-09-16
  • S65 Uniform Investment Adviser Law Examination
    2004-05-06
  • S63 Uniform Securities Agent State Law Examination
    1992-09-16
Other Names
  • Frank Hebert

View on SEC IAPD

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