FOUNDERS FINANCIAL SECURITIES, LLC

FOUNDERS FINANCIAL SECURITIES, LLC of TOWSON, MD is an SEC-registered investment adviser (CRD 137945). Regulatory assets under management: $4.1B.

Registration

Business model

Compensation: % of AUM, Hourly, Fixed, Subscription.

Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.

Officers, owners & control persons (18)

NameRoleLocation
Bradley Matthew ShepherdCEO/ROSFP—
Michael Owens BrooksMEMBER—
Joseph Victor KrcmaCHIEF COMPLIANCE OFFICER—
Jill Anne ReckampFINOP—
SHEPHERD BRADLEY MATTHEWCEO/ROSFP; CHIEF COMPLIANCE OFFICER, PRESIDENT; PRESIDENT (+3 more)—
FARNUM JAMES RANDALL JRCFO/FINOP—
BRIGGS RICHARD RAYMONDCHIEF COMPLIANCE OFFICER/COMPLIANCE REGISTERED OPTIONS PRINCIPAL—
BROOKS MICHAEL OWENSMEMBER; SHAREHOLDER—
STEIGHNER KAREN ANNFINOP—
WESTBROOK SARAH MARGARETCHIEF COMPLIANCE OFFICER—
KRCMA JOSEPH VICTORCHIEF COMPLIANCE OFFICER—
BEECH KAREN ELIZABETHCHIEF COMPLIANCE OFFICER—
RECKAMP JILL ANNEFINOP—
Jerome G. GeraghtyTRUSTEE—
Katelyn B. BuerleinTRUSTEE—
Melissa B. GieseTRUSTEE—
Emily Helen HunterTRUSTEE—
Jared Michael BrooksTRUSTEE—

Disclosures (5)

InitiatedTypeAllegationsStatusAmount
2019-09-30regulatorySEC ADMIN RELEASE 34-87177; IA RELEASE 5397, SEPTEMBER 30, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST FOUNDERS FINANCIAL SECURITIES, LLC ("RESPONDENT"). ON THE BASIS OF…Final$1.6M

Branch offices (25)

Showing 15 of 25 offices.

CityStateEmployeesPhone
BEL AIRMD44108030160
TOWSONMD44103089988
OREGON CITYOR35033446568
ATHOLMA39782492837
WEST CHESTERPA3610-701- 8427
BRIGHTONMI3810 316-5041
CHADS FORDPA2(484) 800-8038
FREDERICKMD2(301) 663-5100
FREDERICKMD2301-663-5100
——2410-561-7177
COLUMBIAMD2410 415 5000
FRESNOCA2559-435-8869
TIMONIUMMD2410 916 5713
——2540-667-9096
CENTERVILLEOH2937-496-5650

More on this firm