CRD #137945 · FINRA BrokerCheck + SEC IAPD

Founders Financial Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Founders Financial Securities LLC ranks #3,920 of 20,055 by disclosure count (most disclosures first). Among firms registered in MD, it ranks #6 of 24 on the same disclosure sort used on the state browse page. Founders Financial Securities LLC carries 1 BrokerCheck disclosure across 74 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
74
branch offices
1
disclosure
#3,920 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 137945 Founders Financial Securities LLC

Founders Financial Securities LLC · Grade B · 1 disc · 0.01/office · Mid-sized firm

  • CRD 137945
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 74
  • PER-OFF 0.01
  • RANK #3,920 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Gradient Securities, LLC (0.01 disc/office)

Gradient Securities, LLC0.01Kingswood Capital Partn…0.01THE Strategic Financial…0.02Founders Financial … (this)0.01
Disclosures per office among mid-sized firm peers (lower is cleaner)

Founders Financial Securities LLC ranks #3,920 of 20,055 by disclosure count among graded broker-dealers; light load at 0.01 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

74 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.01 per office

1 ÷ 74 offices

Founders Financial Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 98% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Founders Financial Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Towson, MD, 21286
Formed
09/21/2004
State of Formation
Maryland
CRD Number
137945
SEC Number
67137

Regulator-heavy mix

Founders Financial Securities LLC in the heavier-disclosure third

Founders Financial Securities LLC carries 1 BrokerCheck disclosure across 74 branch offices - a heavier-third raw book among graded firms (#3,920 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Founders Financial Securities LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Founders Financial Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Maryland cohort · 0.63× state average

Founders Financial Securities LLC tracks near the Maryland disclosure average

Founders Financial Securities LLC reports 1 BrokerCheck disclosure, about 0.63× the Maryland average of 1.6 across 24 graded firms.

In Maryland, 16 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Maryland state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Founders Financial Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Founders Financial Securities LLC ranks #3,920 of 20,055 by disclosure count (most disclosures first). Among firms registered in MD, it ranks #6 of 24 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Founders Financial Securities LLC?
A grade of B reflects Founders Financial Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 1 total disclosure across 74 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Founders Financial Securities LLC have?
Founders Financial Securities LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Founders Financial Securities LLC?
Founders Financial Securities LLC operates 74 branch offices and is classified by FINRA as a small firm, registered in MD (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Founders Financial Securities LLC's disciplinary record?
You can verify Founders Financial Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 137945. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Founders Financial Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Founders Financial Securities LLC carries 1 disclosure across 74 branch offices (about 0.01 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Founders Financial Securities LLC, both outside MD so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.