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Advisor at FOUNDERS FINANCIAL SECURITIES, LLC
Charlton, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| FOUNDERS FINANCIAL SECURITIES, LLC | Independent wealth | Aug 9, 2023 | n/a | yes | Charlton, MA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Dec 1, 2017 | Aug 1, 2023 | no | CHARLTON, MA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Apr 3, 2006 | Nov 8, 2017 | no | SOUTH WINDSOR, CT|CHARLTON, MA | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | Mar 12, 2003 | Apr 3, 2006 | no | CHARLTON, MA | Previous registration |
| POLARIS ADVISORY SERVICES INC | n/a | Apr 28, 1999 | Mar 21, 2003 | no | CHARLTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | FOUNDERS FINANCIAL SECURITIES, LLC | Aug 1, 2023 | Aug 9, 2023 | 8 | Firm change | Ibd to RIA |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Nov 8, 2017 | Dec 1, 2017 | 23 | Firm change | Other |
| OSAIC FS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Apr 3, 2006 | Apr 3, 2006 | 0 | Firm change | Other |
| POLARIS ADVISORY SERVICES INC | OSAIC FS, INC. | Mar 21, 2003 | Mar 12, 2003 | -9 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:137945:MA:2023-08-01 | Aug 1, 2023 | Aug 9, 2023 | CHARLTON, MA | Firm change |
| 29604:110518:MA:2017-10-27 | Nov 8, 2017 | Dec 1, 2017 | CHARLTON, MA | Firm change |