Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
20132014201520162017201820192020202120222023202420252026IAFOUNDATIONS INVESTMENT ADVISOR... (CRD# 175083)2024 - Present (<1 year)IAAE WEALTH MANAGEMENT, LLC (CRD# 282580)2017 - 2024 (6 years)IAHFG ADVISORS (CRD# 113511)2016 - 2018 (1 year)IAINNOVATION PARTNERS LLC (CRD# 146344)2013 - 2014 (1 year)
Disclosure(s)
View By:
6/30/2022
Customer Dispute
Settled
License(s)

State Registrations

IA
Florida 4/10/2024
Current Registration(s)
IA
FOUNDATIONS INVESTMENT ADVISORS LLC (CRD#:175083)
2100 East Bay Dr #221, Largo, FL 33771
Registered with this firm since 4/10/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/16/2017 - 03/29/2024 AE WEALTH MANAGEMENT, LLC (CRD#:282580) Largo, FL
IA
 05/06/2016 - 03/27/2018 HFG ADVISORS (CRD#:113511) Clearwater, FL
IA
 01/29/2013 - 12/24/2014 INNOVATION PARTNERS LLC (CRD#:146344) Largo, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.