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9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WV | RA | APPROVED | 2022-01-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Wheeling | WV | 12/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Wheeling | WV | 11/2016 | 01/2022 |
| Lpl Financial, Llc | Wheeling | WV | 01/2022 | Present |
| Founders Financial Alliance, Llc | Wheeling | WV | 01/2022 | Present |
1. 01/10/2022 - DEFRANCO FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ WHEELING, WV 2. 1/27/2022 - Founders Financial Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 1.2022 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 160 hours per 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. 1/27/2022 - Founders Financial Alliance - DBA: (Hybrid) DeFranco Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 1/2022 - 160 Hours Per Month - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 160 hours per 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-27 |
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