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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
TX RA APPROVED_RES 2022-09-29
TN RA APPROVED 2022-01-05
  • TX RA
    APPROVED_RES
    Since 2022-09-29
  • TN RA
    APPROVED
    Since 2022-01-05

Branch Locations

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

1825 Gunbarrel Rd, Suite 300, Chattanooga, TN 37421 • 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
Prosperity Capital Group, Inc Jacksonville FL 04/2018 03/2019
Asset Protector & Advisors Of Fl, Inc Jacksonville FL 07/2014 09/2022
Carroll Financial Associates, Inc Charlotte NC 01/2019 06/2020
Peak Alpha Wealth Management, Llc Jacksonville Beach FL 03/2019 06/2020
Ae Wealth Management, Llc Topeka KS 06/2020 10/2021
Guardian Investment Advisors, Llc Chattanooga TN 06/2020 Present
Asset Protector Jacksonville FL 07/2013 12/2018
Foundations Investment Advisors, Llc Chattanooga TN 11/2021 Present
  • 04/2018 → 03/2019
    Prosperity Capital Group, Inc
    Jacksonville, FL
  • 07/2014 → 09/2022
    Asset Protector & Advisors Of Fl, Inc
    Jacksonville, FL
  • 01/2019 → 06/2020
    Carroll Financial Associates, Inc
    Charlotte, NC
  • 03/2019 → 06/2020
    Peak Alpha Wealth Management, Llc
    Jacksonville Beach, FL
  • 06/2020 → 10/2021
    Topeka, KS
  • 06/2020 → Present
    Guardian Investment Advisors, Llc
    Chattanooga, TN
  • 07/2013 → 12/2018
    Asset Protector
    Jacksonville, FL
  • 11/2021 → Present
    Chattanooga, TN
Previous Registrations
  • 2020-06-15 → 2021-10-29
    Chattanooga, TN
    Jacksonville, FL
    Chattanooga, TN
  • 2019-01-23 → 2020-06-12
    Carroll Financial Associates Inc
    Jacksonville Beach, FL
  • 2018-04-20 → 2019-03-07
    Prosperity Capital Group, Inc.
    Jacksonville Beach, FL
    Raleigh, NC
Other Businesses

1) GUARDIAN INVESTMENT ADVISORS, LLC ; INVESTMENT RELATED; 1825 GUNBARREL RD, SUITE 300, CHATTANOOGA, TN 37421; INSURANCE SALES; FINANCIAL ADVISOR/INSURANCE AGENT; START DATE: 06/2020;160 HRS/MONTH DEVOTED TO OTHER BUSINESS; 160 HRS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HRS; PROVIDES INSURANCE/ANNUITY OPTIONS TO CLIENTS. SELLS AND SERVICES INSURANCE. 2.) ASSET PROTECTOR & ADVISORS OF FL, INC; INVESTEMENT RELATED; 3010 3RD STREET SOUTH, JACKSONVILLE, FL 32250; PROPERTY MANAGER; 09/1/2014; APPROX 3HRS/MONTH; APPROX 00 HRS/MONTH DURING TRADING;COLLECT RENT, HELP WITH MAINTENENCE, ASSIST TENANTS WITH ANY NEEDS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-19
  • S65 Uniform Investment Adviser Law Examination
    2018-03-19
Other Names
  • Tim Mcdermott

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