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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 2016-10-07
TX RA APPROVED_RES 2016-10-05
  • NC RA
    APPROVED
    Since 2016-10-07
  • TX RA
    APPROVED_RES
    Since 2016-10-05

Branch Locations

4209 New Leaf Lane, Durham, NC 27704 • 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
Invest Financial Corp. Tampa FL 01/2006 10/2016
Lpl Financial Llc Chapel Hill NC 10/2016 Present
Founders Financial Alliance, Llc Chapel Hill NC 10/2016 Present
  • 01/2006 → 10/2016
    Invest Financial Corp.
    Tampa, FL
  • 10/2016 → Present
    Lpl Financial Llc
    Chapel Hill, NC
  • 10/2016 → Present
    Chapel Hill, NC
Previous Registrations
  • 2006-01-11 → 2016-10-06
    Invest Financial Corporation
    Morrisville, NC
    Appleton, WI
    Boca Raton, FL
  • 2001-08-27 → 2005-12-09
    National Equities Management Co
    Boca Raton, FL
Other Businesses

1. 10/03/2016: Opus Financial - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start 09/20/2016 - 2 Hr/Mo; 2% Time Spent 2. 11/02/2016: Founders Financial Alliance LLC - Registered Investment Advisor Hybrid - DBA: (Hybrid) Founders Financial Alliance LLC - Investment Related - 1450 Ralieigh Rd, ste 204, Chapel Hill, NC 27517 - Start 09/20/2016 - 20 Hr/Mo; 1 Hour(s) During Securities Trading; 25% Time Spent - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity on 11/2/16. I expect to spend approximately 20 hours/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. 4/13/2017 - Crump - Investment Related - Home Based - Non-Variable Insurance - General Agent - Started 03/28/2017 - 1 Hours Per Month/0 Hours During Securities Trading - Fixed insurance. 4. 3/14/2019 - Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/01/2019 - 120 Hours Per Month/8 Hours During Securities Trading. 5. 3/19/2019 - Founders Financial Alliance - DBA: (Hybrid) Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Started 04/01/2019 - 40 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, an independent investment advisor firm. I started this business activity on 3/20/2019. I expect to spend approximately 54 hours/month on this activity. Please see the advisory firms 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-09
S63 Uniform Securities Agent State Law Examination 1979-07-19
  • S66 Uniform Combined State Law Examination
    2006-02-09
  • S63 Uniform Securities Agent State Law Examination
    1979-07-19
Other Names
  • Terrence L Donoghue
  • Terry Donoghue

View on SEC IAPD

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