Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 63, Series 65
Experience Industry experience
28 years
Location
Willis, TX
Founders Financial Securities LLC
Multi-team
Stevin Moses is a financial advisor with Founders Financial Securities LLC, holding Series 63 and Series 65 credentials and bringing 28 years of industry experience. He has been with Founders Financial Securities since 2016. Outside of his advisory role, he is involved in selling life, long-term care, and disability insurance products through a separate business activity. Founders Financial Securities provides advisory services to individuals, retirement plan sponsors, trusts, and corporate clients, managing approximately $4.1 billion in client assets. The firm supports a range of investment platforms and advisory services, allowing advisors to use discretionary or non-discretionary management, model portfolios, and third-party sub-advisors while conducting due diligence and oversight.
Based on Founders Financial Securities LLC
Flat fees possible for financial planning; also $500 annual subscription fee for TheFreedomStrategies.com
$0 - $25,000: up to 2.50%; or $125 minimum annual fee prorated monthly, whichever is greater (Independence Advisory at Pershing) $25,000+: up to 2.50% (Independence Advisory at Pershing) $0 - $4,999: N/A (minimum not met; exceptions possible) $5,000 - $24,999: up to 2.50% plus custodial fee ($50 annual, charged quarterly) (Independence Advisory at Axos and Schwab) $25,000 - $99,999: up to 2.50% plus custodial fee ($75 annual, charged quarterly) (Independence Advisory at Axos and Schwab) $100,000+: up to 2.50% plus custodial fee ($100 annual, charged quarterly) (Independence Advisory at Axos and Schwab) $10,000+: 1.65% annually (Managed Portfolio Program) $0+: no account minimum for FCMS Managed Accounts, fees typically up to 2.75% annually $0 - $1,000,000: up to 1.70% annually (FCMS Private Wealth Solutions) $1,000,000+: up to 1.40% annually (FCMS Private Wealth Solutions) $0+: up to 2.00% annually or flat fee for Freedom Independence Plan (retirement plan advisory) $0+: $500 annually (quarterly installments) for TheFreedomStrategies.com subscription
Commissions possible if IAR is also a Registered Representative; separate from advisory fees
Financial planning fees up to $500 per hour, negotiable
TheFreedomStrategies.com subscription fee is $500 annually, paid quarterly in arrears
Account minimum: $5,000 Minimum fee: $125 minimum annual fee for some Independence Advisory accounts opened below $25,000 Fee-only: Financial planning fees up to $500 per hour or $30,000 per year, negotiable; flat fees or hourly rates possible
Willis, TX
Willis TX
Advisors at this office
1
Connecticut · Texas
28 years of industry experience
Founders Financial Securities LLC
2016 - Present • 10 years
Towson, MD
Northstar Wealth Partners LLC
2015 - 2016 • 1 year
West Hartford, CT
Stratos Wealth Partners, Ltd
2010 - 2011 • 1 year
West Hartford, CT
LPL Financial
2009 - 2015 • 6 years
CT
People's Securities, inc.
2004 - 2009 • 5 years
CT
Mass Mutual Investors Services
2003 - 2004 • 1 year
Farmington, CT
Ameriprise
1998 - 2003 • 5 years
East Hartford, CT
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Conroe, TX
Gemini Estate Plan LLC
Joel Gooch is the sole advisor at Gemini Estate Plan LLC in Conroe, TX, holding Series 63 and Series 65 licenses with 18 years of industry experience. He has been associated with Gemini Sales since 1996 and devotes a significant portion of his time to retirement and tax planning as well as fixed insurance products through his role as a managing general agent. Gemini Estate Plan provides financial planning and investment advisory services primarily to individual clients, offering comprehensive plans covering tax, insurance, retirement, and estate planning. The firm employs a long-term, fundamental investment approach and delegates portfolio management to selected third-party managers, including AssetMark, with regular reviews of managed accounts and financial plans.
Series 63, Series 65
Conroe, TX
Livingston Wealth Advisory
Bradley Livingston is a financial advisor at Livingston Wealth Advisory in Conroe, TX, holding Series 63 and Series 65 licenses with 30 years of industry experience. His career includes roles at OSAIC, Harman Wealth Management, Sagepoint Financial Inc, Wells Fargo Clearing, and Citigroup Global Markets. Livingston Wealth Advisory provides portfolio management and investment advisory services to individuals, high-net-worth clients, retirement plans, trusts, charitable organizations, and business entities. The firm employs a smart-beta approach focused on factor-based and sector ETFs combined with fundamental and technical analysis, and it operates without minimum account sizes or proxy voting on clients’ behalf.
Series 65
Montgomery, TX
Bartee Capital Management, LLC
Eric Bartee is the sole advisor at Bartee Capital Management, LLC in Montgomery, TX, holding a Series 65 designation with nine years of industry experience. He has managed Bartee Capital Management since 2016 and also operates PEB, LLC, a consulting services business unrelated to investment management. Bartee Capital Management provides investment advisory and financial planning services primarily to individual investors, trusts, estates, charitable organizations, and business entities. The firm uses customized investment policy statements and a blend of fundamental and technical analysis, offering both discretionary and non-discretionary portfolio management along with a third-party manager referral program.
Series 66
Montgomery, TX
The Jacobs Financial Group
Richard Jacobs is a financial advisor at The Jacobs Financial Group in Montgomery, Texas, with 17 years of industry experience. He holds a Series 66 designation and has led his independent firm since 2006. Outside of his advisory role, Jacobs is a licensed insurance agent, a part of his broader financial services offering. The Jacobs Financial Group serves primarily individual clients, personal retirement plans, and small businesses, providing financial planning and portfolio management. The firm employs a conservative, low-turnover investment strategy focused on index-based ETFs and general securities, with portfolios constructed around broad market themes and reviewed monthly.
Series 65
Conroe, TX
Community Financial Group, Inc.
Richard Wilson is a financial advisor at Community Financial Group, Inc. in Conroe, TX, holding a Series 65 designation with 22 years of industry experience. He has been with Community Financial Group since 2003. Community Financial Group, Inc. provides customized investment advisory and financial planning services to individuals, high-net-worth clients, trusts, estates, corporations, and retirement plans. The firm manages approximately $92.9 million in assets on a discretionary basis and employs a variety of investment vehicles, integrating third-party managers and sub-advisors while offering retirement-account advice and insurance consulting through a relationship with DPL Financial Partners.
Series 63, Series 65
Conroe, TX
Artesa Financial Group
Frank Cannon is a financial advisor with Artesa Financial Group in Conroe, TX, holding Series 63 and Series 65 licenses and bringing 24 years of industry experience. He has been involved with Artesa Financial Group since 2010 and Artesa Consulting, LLC since 2011. Outside of his advisory role, he serves as Vice President, Secretary, and Treasurer of an advertising and publishing company and is President and Treasurer of a cattle and hay operation. Artesa Financial Group provides discretionary wealth and portfolio management services to individual clients, utilizing a risk-first allocation process that incorporates Morningstar Office beta scores to tailor portfolios according to client risk tolerance. The firm combines fundamental and technical analysis, conducts regular monitoring, and offers management of held-away accounts through an online platform.
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