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Investment Adviser Firm Summary

FOUNDERS FINANCIAL ALLIANCE, LLC (CRD# 173011 / SEC# 801-108700)
Alternate Names: BRYAN FINANCIAL GROUP , CECCATO WEALTH PARTNERS, LLC , COLONNADE WEALTH MANAGEMENT GROUP, LLC , DEFRANCO FINANCIAL , FIDUCIARY ASSET MANAGEMENT , FLATFEECIO , FOUNDERS FINANCIAL ALLIANCE , FOUNDERS FINANCIAL ALLIANCE, LLC , FOUNDERS WEALTH ADVISORS, LLC , INNERBANKS WEALTH MANAGEMENT , MAINSAIL TRIANGLE INVESTMENT MANAGEMENT , OWENS & ASSOCIATES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/21/2016
Arizona Terminated 11/28/2016
Arkansas Terminated 11/28/2016
California Terminated 12/28/2016
Connecticut Terminated 11/29/2016
District of Columbia Terminated 11/28/2016
Florida Terminated 11/28/2016
Georgia Terminated 12/20/2016
Illinois Terminated 11/21/2016
Indiana Terminated 12/01/2016
Iowa Terminated 11/29/2016
Kentucky Terminated 12/06/2016
Louisiana Terminated 11/29/2016
Maryland Terminated 12/31/2016
Michigan Terminated 12/14/2016
Minnesota Terminated 12/05/2016
New Jersey Terminated 11/29/2016
New Mexico Terminated 12/31/2016
New York Terminated 11/28/2016
North Carolina Terminated 11/30/2016
Ohio Terminated 11/28/2016
Oregon Terminated 11/28/2016
Pennsylvania Terminated 11/29/2016
South Carolina Terminated 11/28/2016
Tennessee Terminated 11/28/2016
Texas Terminated 11/28/2016
Virginia Terminated 11/29/2016
West Virginia Terminated 11/28/2016
Wisconsin Terminated 11/29/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/31/2017
Arizona 11/21/2016
Arkansas 11/21/2016
California 11/21/2016
Connecticut 11/21/2016
District of Columbia 11/21/2016
Florida 11/21/2016
Georgia 11/21/2016
Illinois 11/21/2016
Indiana 11/21/2016
Iowa 11/21/2016
Kentucky 11/21/2016
Louisiana 11/21/2016
Maryland 11/21/2016
Massachusetts 11/21/2016
Michigan 11/21/2016
Minnesota 11/21/2016
New Hampshire 01/23/2017
New Jersey 11/29/2016
New Mexico 11/21/2016
New York 11/21/2016
North Carolina 11/21/2016
Ohio 11/21/2016
Oregon 11/21/2016
Pennsylvania 11/21/2016
South Carolina 11/21/2016
Tennessee 11/21/2016
Texas 11/21/2016
Virginia 11/21/2016
West Virginia 11/21/2016
Wisconsin 11/21/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser