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Investment Adviser Firm Summary
FOUNDERS FINANCIAL SECURITIES, LLC ( CRD # 137945/SEC#:801-66892,8-67137 )
7 PILLARS WEALTH MANAGEMENT, ZINAICH CAPITAL & RISK MANAGEMENT, WELCH BENEFIT GROUP, WEINBERG FINANCIAL ADVISORY, WEALTH PLANNING GROUP…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved7/13/2006
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.

JURISDICTIONEFFECTIVE DATE
Alabama3/20/2008
Alaska9/1/2009
Arizona3/20/2008
Arkansas3/28/2014
California7/27/2006
Colorado3/20/2008
Connecticut7/13/2006
Delaware7/24/2006
District of Columbia3/20/2008
Florida7/13/2006
Georgia7/25/2006
Hawaii3/28/2014
Idaho3/20/2008
Illinois8/24/2006
Indiana7/13/2006
Iowa3/24/2008
Kansas3/20/2008
Kentucky7/27/2006
Louisiana3/28/2014
Maine3/28/2014
Maryland7/13/2006
Massachusetts8/4/2006
Michigan7/13/2006
Minnesota7/13/2006
Mississippi3/20/2008
Missouri3/28/2014
Montana3/28/2014
Nebraska3/20/2008
Nevada3/20/2008
New Hampshire3/20/2008
New Jersey7/13/2006
New Mexico3/20/2008
New York7/13/2006
North Carolina7/13/2006
North Dakota3/28/2014
Ohio7/13/2006
Oklahoma3/28/2014
Oregon3/20/2008
Pennsylvania7/13/2006
Puerto Rico7/8/2013
Rhode Island3/28/2014
South Carolina7/25/2006
South Dakota3/20/2008
Tennessee7/28/2006
Texas3/20/2008
Utah3/28/2014
Vermont3/20/2008
Virgin Islands10/24/2013
Virginia7/13/2006
Washington7/25/2006
West Virginia7/13/2006
Wisconsin3/20/2008
Wyoming3/29/2018
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.