FOUNDERS FINANCIAL SECURITIES, LLC

Broker-DealerFINRA MemberEst. 2006
Total AUM
$4.1B
Discretionary
$3.7B
88% of AUM
Accounts
19,082
Employees
139
Advisory reps
129
Brokerage reps
118

Firm details

Headquarters
TOWSON, Maryland
CRD number
137945
Registered since
July 13, 2006
Website
foundersfinancial.com
Custodians
AXOS CLEARING LLC
Fee structure
Percentage of AUM, Hourly Charges, Subscription Fees, Fixed Fees
Client types
  • HNWI51.48%
  • Individuals37.91%
  • Pension & Profit Sharing Plans10.01%
  • Charitable Organizations0.39%
  • Corporations / Businesses0.21%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Founders Financial Securities, LLC operates as an independent broker-dealer and capital allocator that serves both individual/family and institutional clients. Organized as an LLC and SEC-registered since 2006, the firm combines brokerage and insurance distribution with a range of advisory services, including financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other advisers. Its billing approach is mixed: percentage of AUM, hourly, subscription and fixed fees are all used depending on the engagement. The firm does not position itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 75%, Exchange Traded Equities 18%, Cash & Cash Equivalents 5%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%75%
  • Public Funds/Mutual Funds75%
  • Exchange Traded Equities18%
  • Cash & Cash Equivalents5%
  • State & Local Bonds1%
  • Investment Grade Corp Bonds1%

Owners & executives

3 of 13

  • Pierre Frediere

    Chief Investment OfficerCRD 2252335

  • Brooks Shertzer

    Partner & Chief Operations OfficerCRD 6570185

  • JORDAN WEINBERG

    Chief Executive OfficerCRD 1784029

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Contacts

3 of 116

  • Jesse Colgan

    Director of Operations & Client ServicesCRD 7028120

  • CLYDE FORD

    President & FounderCRD 4700006

  • GARY SIANO

    PresidentCRD 1273119

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 387

Active vs passive

$2B in ETFs

Passive

73%

$1.5B

Active

22%

$531M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) GROWTH ETF (SPYG)State StreetPassiveLarge Growth$109M1,050,2195.49%
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Location

Primary office

TOWSON, MD

BALTIMORE

Location

TOWSON, MD

Headquartered in TOWSON, MD, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region
South
County
BALTIMORE
Address
1026 Cromwell Bridge Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth