Founders Financial Securities, LLC

Registered investment adviser · Towson, MD · CRD #137945

Form ADV data as of 2026-09-01

Regulatory assets

$4.14 billion

Total accounts

19,082

Employees

139

Disclosure events

Firm details

Website: http://www.dreambridgeplanning.com
Telephone: 410-308-9988
SEC file number: 801-66892
Most recent Form ADV filing: 2026-04-20
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 3 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.66 billion
Non-discretionary regulatory assets under management	$476.5 million
Total regulatory assets under management	$4.14 billion
Discretionary accounts	16,517
Non-discretionary accounts	2,565
Total accounts	19,082
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	139
Employees performing investment advisory functions (including research)	101
Employees who are registered representatives of a broker-dealer	118
Employees registered as investment adviser representatives with a state	115
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	110
Firms or persons who solicit advisory clients on the firm's behalf	3

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$1.5 million
Clients for whom the firm has custody	13
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementHourly chargesSubscription fees (for a newsletter or periodical)Fixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	8,124	$1.57 billion
High net worth individuals	1,466	$2.13 billion
Pension and profit sharing plans (not the participants or government plans)	241	$414.1 million
Charitable organizations	22	$16.1 million
Corporations or other businesses not listed above	17	$8.7 million