Individual Firm
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MARK ANDREW TIMMICK
CRD#: 3212857
IA
B
FOUNDERS FINANCIAL SECURITIES, LLCCRD#: 137945 5010 DORSEY HALL DRIVE
SUITE 102
ELLICOTT CITY, MD 21042
SUITE 102
ELLICOTT CITY, MD 21042
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8/15/2016
Financial
Final
4/17/2012
Customer Dispute
Settled
State Registrations
B
Delaware 8/6/2014
B
North Carolina 1/5/2019
B
District of Columbia 8/13/2013
B
Pennsylvania 6/7/2019
B
Florida 8/13/2013
B
South Carolina 8/5/2015
B
Hawaii 9/2/2022
B
Tennessee 8/8/2023
B
Maryland 8/13/2013
B
Texas 6/16/2022
IA
Maryland 8/13/2013
IA
Texas 6/16/2022
B
Minnesota 1/9/2020
B
Virginia 8/13/2013
B
Nevada 1/9/2019
B
West Virginia 1/11/2024
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/13/2013
B
Registered with this firm since 8/13/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/24/2012 - 08/13/2013 | ELLICOT CITY, MD | |
B | 12/17/2007 - 08/13/2013 | ELLICOT CITY, MD |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.