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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 | 2016-10-07 |
| TX | RA | APPROVED_RES | 2016-10-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-19 |
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