Full text of FOUNDERS FINANCIAL SECURITIES LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67137 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2021 12/31/2021 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: FOUNDERS FINANCIAL SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): | Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1026 CROMWELL BRIDGE ROAD | | (No. and Street) | | | | | |------------------------------------------------------------|---------------------------------------------------------------------------|--------------------------------|------------|--|--| | TOWSON | | MARYLAND | | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | JILL RECKAMP | 443-470-7290 | JRECKAMP@FOUNDERSFINANCIAL.COM | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | GOLDMAN & COMPANY CPAS PC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 3535 ROSWELL RD, STE 32 MARIETTA | | GA | 30062 | | | | (Address) | (City) | (State) | (Zip Code) | | | | JUNE 25, 2009 | | 1952 | | | | (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY (PCAOB Registration Number, if applicable) \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1){ii), if applicable. 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. {1}------------------------------------------------ ### OATH OR AFFIRMATION | swear (or affirm) that, to the best of my knowledge and belief, the<br>financial report pertaining to the firm of FOUNDERS FINANCIAL SECURITIES, LLC<br>as of<br>12/31<br>, 2 21<br>partner, officer, director, or equivalent person…Read the full text as markdown