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

131

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

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

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 118

Jesse Colgan
Director of Operations & Client ServicesCRD 7028120
Clyde Ford
President & FounderCRD 4700006
Gary Siano
PresidentCRD 1273119

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 387

Active vs passive

$2B in ETFs

Passive

73%

$1.5B

Active

22%

$531M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) GROWTH ETF (SPYG)	State Street	Passive	Large Growth	$109M	1,050,219	5.49%

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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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