Verify our credentials yourself
Every registration number on this page links to an official U.S. government or regulatory body website. Check them. We built this page so you would.
Registration numbers
How to verify (step by step)
FINRA BrokerCheck
- 1Go to brokercheck.finra.org
- 2Click 'Firm' search tab
- 3Enter CRD# 137945 or 'Founders Financial Securities'
- 4Review the registration history, formation date (9/21/2004), and any disclosures
SEC EDGAR
- 1Go to sec.gov/cgi-bin/browse-ia
- 2Search for 'Founders Financial Securities'
- 3Review Form ADV filings and registration details
- 4Confirm SEC# 801-66892 (investment adviser) and 8-67137 (broker-dealer)
SIPC Member Directory
- 1Go to sipc.org/list-of-members
- 2Search for 'Axos Clearing LLC' (our clearing custodian)
- 3Confirm active SIPC membership status
- 4Verify coverage applies to accounts cleared through Axos
Form CRS (Customer Relationship Summary)
Form CRS summarizes the types of services we offer, fees and costs, conflicts of interest, and our disciplinary history. It is designed by the SEC for retail investors to understand their relationship with a financial firm at a glance.
Our Form CRS is available in the website footer, upon registration, and directly from FINRA BrokerCheck under the CRD# 137945 filing.
Common questions
What is a CRD number and how do I use it?
CRD stands for Central Registration Depository. It is the unique identification number FINRA assigns to every registered broker-dealer in the United States. To look up CRD# 137945, visit brokercheck.finra.org, enter the number in the search bar, and review the full registration and disclosure history.
What is a Form CRS?
Form CRS (Customer Relationship Summary) is a disclosure document required by the SEC that summarizes the services, fees, conflicts of interest, and disciplinary history of a financial firm. FoundersXTrade makes its Form CRS available in the website footer and directly upon account registration.
Can I verify individual advisors at the firm?
Yes. Every registered representative and investment adviser associated with Founders Financial Securities LLC has a personal CRD number. You can search individual names or CRD numbers on FINRA BrokerCheck to review their licensing history, qualifications, and any disclosures.
Where can I find FoundersXTrade's SEC filings?
Founders Financial Securities LLC files Form ADV, Form BD, and related regulatory documents with the SEC. These are publicly accessible through SEC EDGAR by searching for the firm name or SEC registration numbers 801-66892 and 8-67137.