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RIA / WealthAdvisor34 years in industry

FRANCIS JOSEPH HEBERT

Advisor at FOUNDATIONS INVESTMENT ADVISORS LLC

ELDERSBURG, MD | PHOENIX, AZ | Odenton, MD

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FOUNDATIONS INVESTMENT ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 16, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 16, 1992
First registration: Jul 27, 2004
Dual registered: no
Other names: FRANK HEBERT
IAPD individual key: 2262576

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	Mar 6, 2017	n/a	yes	PHOENIX, AZ\|ELDERSBURG, MD\|Odenton, MD	Current employment
RIVER SOURCE WEALTH MANAGEMENT, LLC	Former SEC adviser	Nov 16, 2010	Mar 31, 2017	no	WAYNESVILLE, NC	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Oct 25, 2006	Nov 2, 2010	no	BOWIE, MD	Previous registration
USA FINANCIAL SECURITIES LLC	Independent wealth	Oct 4, 2005	Oct 26, 2006	no	ADA, MI\|BOWIE, MD	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Aug 20, 2004	Sep 30, 2005	no	BOWIE, MD	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Jul 27, 2004	Dec 31, 2004	no	BOSIE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RIVER SOURCE WEALTH MANAGEMENT, LLC	FOUNDATIONS INVESTMENT ADVISORS LLC	Mar 31, 2017	Mar 6, 2017	-25	Firm change	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	RIVER SOURCE WEALTH MANAGEMENT, LLC	Nov 2, 2010	Nov 16, 2010	14	Firm change	Other
USA FINANCIAL SECURITIES LLC	STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Oct 26, 2006	Oct 25, 2006	-1	Firm change	Other
INVESTORS CAPITAL ADVISORY	USA FINANCIAL SECURITIES LLC	Sep 30, 2005	Oct 4, 2005	4	Firm change	Other
EASTERN POINT ADVISORS INC.	INVESTORS CAPITAL ADVISORY	Dec 31, 2004	Aug 20, 2004	-133	Bulk transfer	Other

Relationships

Registered with (6)

→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Mar 6, 2017 to presentfactForm ADV
→ RIVER SOURCE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 16, 2010 to Mar 31, 2017factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 25, 2006 to Nov 2, 2010factForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Oct 4, 2005 to Oct 26, 2006factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Aug 20, 2004 to Sep 30, 2005factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Jul 27, 2004 to Dec 31, 2004factForm ADV

Dated events

No dated event names this entity yet.