Founders Financial Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 101–250 clients last fiscal year.
Founders Financial Securities reports 9,870 clients. They include 8,124 individual clients, 1,466 high-net-worth individuals, and 241 pension and profit-sharing plans. Of its assets, 88.5% ($3.66B across 16,517 accounts) are managed with discretion; $477M across 2,565 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 82% | 38% |
| High-net-worth individuals | 15% | 51% |
| Pension and profit-sharing plans | 2% | 10% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 8,124 | $1.57B | 37.9% | $193K |
| High-net-worth individuals | 1,466 | $2.13B | 51.5% | $1.45M |
| Pension and profit-sharing plans | 241 | $414M | 10.0% | $1.72M |
| Charitable organizations | 22 | $16.1M | 0.4% | $731K |
| Corporations and other businesses | 17 | $8.74M | 0.2% | $514K |
| Total | 9,870 | $4.14B | 100% | $419K |
- Clients
- 8,124
- Regulatory AUM
- $1.57B
- AUM share
- 37.9%
- Avg. per client
- $193K
- Clients
- 1,466
- Regulatory AUM
- $2.13B
- AUM share
- 51.5%
- Avg. per client
- $1.45M
- Clients
- 241
- Regulatory AUM
- $414M
- AUM share
- 10.0%
- Avg. per client
- $1.72M
- Clients
- 22
- Regulatory AUM
- $16.1M
- AUM share
- 0.4%
- Avg. per client
- $731K
- Clients
- 17
- Regulatory AUM
- $8.74M
- AUM share
- 0.2%
- Avg. per client
- $514K
Total
- Clients
- 9,870
- Regulatory AUM
- $4.14B
- AUM share
- 100%
- Avg. per client
- $419K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Founders Financial Securities is paid through a percentage of assets under management, hourly charges, subscription fees and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
Founders Financial LLC owns 75% or more of Founders Financial Securities and is in turn owned by Founders Financial Holdings Inc. (75% or more). The leadership team of Founders Financial Securities includes Chief Compliance Officer Joseph Victor Krcma. It has 139 employees, 101 of them in advisory roles.
Staff
- 139 employees
- 101 in advisory functions
- 115 state-registered reps
- 118 broker-dealer reps
- 110 insurance agents
- 3 soliciting firms
- Owns 75% or more of Founders Financial Securities, LLC
Founders Financial LLC
Control person · since December 2022
- Owns 75% or more of Founders Financial LLC
Founders Financial Holdings Inc.
Control person · since December 2022
- Owns 50% to 75% of Founders Financial Holdings Inc.
Michael O Brooks 2025 Irrevocable Trust
Control person · since January 2026
Jerome G. Geraghty
Trustee · since March 2025
Katelyn B. Buerlein
Trustee · since March 2025
Melissa B. Giese
Trustee · since March 2025
- Owns 50% to 75% of Founders Financial Holdings Inc.
Karen E Brooks 2025 Irrevocable Trust
Control person · since January 2026
Emily Helen Hunter
Trustee · since January 2026
Jared Michael Brooks
Trustee · since January 2026
Founders Financial Securities’ regulatory assets grew 1.9× from $2.15B (June 2021) to $4.14B (April 2026); clients were 9,870 in both filings and employees rose from 125 to 139.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Apr 2026April 2026 | $4.14B | 9,870 | 139 | 69 |
| Apr 2025April 2025 | $3.32B | 9,021 | 141 | 63 |
| Jul 2024July 2024 | $2.91B | 9,077 | 137 | 66 |
| Mar 2023March 2023 | $2.27B | 8,380 | 138 | 64 |
| Jul 2022July 2022 | $2.62B | 11,305 | 129 | 63 |
| Jun 2021June 2021 | $2.15B | 9,795 | 125 | 61 |
Besides its headquarters, Founders Financial Securities has 68 offices (2 private residences, listed without an address), with 24 listed addresses across 11 states.
Maryland · 9 listed addresses
- 1026 Cromwell Bridge Road, Suite 100, TowsonHQ
- 108 W Timonium RD, Timonium
- 1020 Cromwell Bridge Road, Towson
- 7360 Guilford Drive, Frederick
- 9250 Rumsey Road, Columbia
- 2200 Baltimore BLVD., Finksburg
- 104 Victory Lane, Bel Air
- 7360 Guilford Drive, Frederick
- 10 Gerard Avenue Suite 305, Lutherville-Timonium
Michigan · 3 listed addresses
- 5088 S. Old US Hwy 23, Brighton
- 801 S Waverly Road, Lansing
- 10484 Citation DR., Brighton
Pennsylvania · 3 listed addresses
- 400 South 12th Street, Lebanon
- 535 N Church Street, West Chester
- 133 Commons Court, Chads Ford
Ohio · 2 listed addresses
- 1800 Lyons Road, Centerville
- 220 Mill Street, Milford
California · 1 listed address
- 8525 N. Cedar Avenue, Fresno
Massachusetts · 1 listed address
- 2070 Main Street, Athol
New Hampshire · 1 listed address
- 53 Stiles Road, Salem
Oregon · 1 listed address
- 516 High Street, Oregon City
Washington · 1 listed address
- 1200 Old Fairhaven Parkway, Bellingham
West Virginia · 1 listed address
- 9773 Tuscarora Pike, Martinsburg
Wisconsin · 1 listed address
- W67 N222 Evergreen BLVD, Cedarburg
Other business names
Founders Financial Securities has reported 67 other business names to the SEC.
- 7 Pillars Wealth Management
- Aquino Financial Group
- Asher and Associates Financial
- Barry and Campagna Financial Services
- Beach, Blake & Associates Financial Services
- Benchmark Financial Design Group
- Bishop Associates
- Brooks Financial Group
- Cadre Asset Management
- Chy Financial
- Covenant Planning and Wealth Management
- DHT Financial Group
Show all 67 names
- Darrell Financial Services
- Derickson Financial
- Diversified Retirement Services
- Dreambridge Financial
- Edm Financial Advisors
- Estabrook and Co.
- Everly Financial Services
- FTG Squared
- Fairway Financial
- Financial Planning Associates
- Fort Washington Financial
- Fox Wealth Solutions
- Frederick Financial Planners
- Furton Financial Services
- Gerhart Financial Services
- Gosen Investments
- Goulart Partners
- Great Lakes Financial Services Group
- Guided Wealth Management
- Herkert & Associates
- Hoffmann Wealth Management
- Jardon Consulting
- Kessler Investments
- Lambertson Financial Services
- Lifetime Wealthcare Family Office
- Lim Financial Group
- Magis Wealth Leadership
- Maryland Wealth Management
- McCord
- Miller Financial Group
- Morgan Financial Group
- Noble Financial
- Overdorf Financial
- Reid Financial
- Rigg Wealth Management
- Ronald Hammons
- Servant Leader Investors
- Shenandoah Financial Advisors
- Sound Choice Financial
- Statonwalsh
- Summit Legacy Group
- T & G Financial Solutions
- The Zimmer Financial Group
- Thrive Financial Services Group
- Timmick Financial Group
- Tpa Financial
- Trubridge Wealth Partners
- Truesense Wealth Management
- Twentyone5 Wealth Management
- Velaris Wealth Partners
- Voyager Wealth Management
- Warnock Financial Services
- Wealth Planning Group
- Weinberg Financial Advisory
- Zinaich Capital & Risk Management
Contact and registration details
- Legal name
- Founders Financial Securities, LLC
- Headquarters
- 1026 Cromwell Bridge Road, Suite 100, Towson, MD 21286
- Website
- Not reported
- Phone
- 410-308-9988
- SEC file
- 801-66892
- Structure
- Maryland LLC
- Fiscal year end
- December
Founders Financial Securities’ named custodian for separately managed accounts is Axos Clearing ($2.66B). Founders Financial Securities has custody of $1.5M for 13 clients.
- Axos ClearingAxos Clearing LLC · Omaha, NE · $2.66B100%
At year end, Founders Financial Securities’ separately managed accounts were mostly in funds (75%) and stocks (18%). Its reported 13F holdings for the quarter ended 30 June 2026 total $1.95B across 555 positions; the largest are SPDR Series Trust (6.5%), SPDR Series Trust (4.8%) and Dimensional ETF Trust (2.8%).
What the accounts hold
- Stocks18%
- Funds75%
- Bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash5%
How many clients does Founders Financial Securities have?
Founders Financial Securities has 9,870 clients and manages $4.14 billion for them, as of April 2026. They include 8,124 individual clients, 1,466 high-net-worth individuals, and 241 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 20 April 2026
What services does Founders Financial Securities offer?
Founders Financial Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Founders Financial Securities use?
Founders Financial Securities’ separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $2.66B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 20 April 2026
How many financial advisors does Founders Financial Securities have?
Founders Financial Securities has 115 investment adviser representatives registered with state securities authorities, out of 139 employees, and 101 perform investment advisory functions. 118 employees are registered representatives of a broker-dealer and 110 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Founders Financial Securities invest in?
At the end of its last fiscal year, Founders Financial Securities’ separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 18% exchange-traded equities, 5% cash and equivalents, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Founders Financial Securities?
Founders Financial Securities’ direct owner is Founders Financial LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 20 April 2026
How does Founders Financial Securities get paid?
Founders Financial Securities is paid through a percentage of assets under management, hourly charges, subscription fees and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Founders Financial Securities?
Founders Financial Securities’ main office is at 1026 Cromwell Bridge Road, Suite 100, Towson, MD 21286. Its phone number is 410-308-9988.