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Employer firm

Foundations Investment Advisors LLC CRD 175083

$10.1B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Foundations Investment Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2026-07-22
  • MO RA
    APPROVED
    Since 2026-07-22

Branch Locations

3271 E Battlefield Rd Ste 260, Springfield, MO 65804 • United States

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • 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
Stateline Plaza Restaurant Thayer MO 06/2023 09/2023
Alton Bank Alton MO 09/2023 05/2024
Table Rock Community Bank Springfield MO 06/2024 04/2025
Compass Financial Springfield MO 08/2025 Present
Foundations Investment Advisors, Llc Springfield MO 07/2026 Present
Unemployed Springfield MO 04/2025 08/2025
Interlochen Arts Academy Interlochen MI 08/2020 05/2021
Thayer Elementary School Fort Leonard Wood MO 08/2016 05/2020
Thayer Senior High School Thayer MO 08/2021 05/2024
  • 06/2023 → 09/2023
    Stateline Plaza Restaurant
    Thayer, MO
  • 09/2023 → 05/2024
    Alton Bank
    Alton, MO
  • 06/2024 → 04/2025
    Table Rock Community Bank
    Springfield, MO
  • 08/2025 → Present
    Compass Financial
    Springfield, MO
  • 07/2026 → Present
    Springfield, MO
  • 04/2025 → 08/2025
    Unemployed
    Springfield, MO
  • 08/2020 → 05/2021
    Interlochen Arts Academy
    Interlochen, MI
  • 08/2016 → 05/2020
    Thayer Elementary School
    Fort Leonard Wood, MO
  • 08/2021 → 05/2024
    Thayer Senior High School
    Thayer, MO
Other Businesses

04/2025 - UCC REALTY – UNITED COUNTRY COZORT REALTY - NOT INVESTMENT RELATED - 27 OLD HIGHWAY 63, THAYER, MO; SALESPERSON; APPROX. 0 HOURS/MO. DURING TRADING HOURS; REAL ESTATE SALES SERVICES; DUTIES INCLUDE ASSISTING CLIENTS WITH THE PURCHASE AND SALE OF RESIDENTIAL REAL ESTATE. 07/2025 - INSURANCE AGENCY - INVESTMENT RELATED - 3271 E BATTLEFIELD RD., STE. 260, SPRINGFIELD, MO 65804; INSURANCE AGENT; APPROX. 0 HOURS/MO. DURING TRADING HOURS; INSURANCE SERVICES; DUTIES INCLUDE ASSISTING CLIENTS WITH THE PURCHASE OF INSURANCE PRODUCTS; INSURANCE LICENSED 07/2025.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-30
  • S65 Uniform Investment Adviser Law Examination
    2026-06-30

View on SEC IAPD

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