Full text of FOUNDERS FINANCIAL SECURITIES LLC's X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | B-67137 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 01 | /0<br>/20<br>19<br>1 | | AND ENDING �12�/31�/<br>2�01�9 ����� | | | |-----------------------------------------------------------------------------------------|---------------------------------------------------------|---------|--------------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF BROKER-DEALER: FOUNDERS FINANCIAL SECURITIES LLC | | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | | 1020 CROMWELL BRIDGE ROAD | | | | | | | | (No. and Street) | | | | | | TOWSON | MD | | 21286 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>JILL RECKAMP | | | 678-679-8639 | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | GOLDMAN & COMPANY CPAS PC | | | | | | | | (Name- if<br>individual, state last.first, middle name) | | | | | | 3535 ROSWELL RD | MARIETTA | GA | 30062 | | | | (Address) | (City) | (State) | (Zip Code) | | | | f<br>CHECK ONE: | | | | | | | certified<br>Public Accountant<br>!<br>I | | | | | | | D<br>Public Accountant | | | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | *\*Claims/or exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240. l 7a-5(e)(2)* > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1410 (06-02) {1}------------------------------------------------ ### **OATH OR AFFI…Read the full text as markdown