Full text of FOUNDERS FINANCIAL SECURITIES LLC's X-17A-5 filed 2024-04-16 (period 2023-12-31). 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** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-67137 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1 /Q 1 /2023** MM/DD/VY AND ENDING **<sup>12131</sup> f2 <sup>0</sup> 23** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: FOUNDERS FINANCIAL SECURITIES, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1026 CROMWELL BRIDGE ROAD (No. and Street) TOWSON MARYLAND 21286 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING JILL RECKAMP 443-4 70-7290 JRECKAMP@FOUNDERSFINANCIAL.COM (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* GOLDMAN & COMPANY CPAS PC (Name - if individual, state last, first, and middle name) 3535 ROSWELL, STE 32 MARIETTA GA 30062 (Address) (City) (State) (Zip Code) JUNE 25, 2009 1952 l" **of R,g;malioa w;th PCAOB)(;f appHcable) FOR OFFICIAL USE ONLY (PCAOB Reg;,i,a,;oa N"mbec, ;f appHcabl,)** I • Claims for exemption from the requirement that the annual reports be covered by the 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-S(e)(l)(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 0MB control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | _______________<br>I, _J_IL_L_R_E_CKA_M_P | | , swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------| | fin…Read the full text as markdown