Hockessin, DE Office

Founders Financial Securities (FFS) provides investment advisory services to individuals (including high‑net‑worth clients), retirement plan sponsors, trusts, and corporate clients across an enterprise network of IARs managing roughly $4.1 billion in client assets. The firm offers multiple advisory platforms and services, including Independence Advisory accounts, a Managed Portfolio Program, the Freedom Capital Management Strategies suite (with co‑advised Private Wealth Solutions), third‑party manager access, held‑away 401(k) management, fee‑based variable annuities, financial planning, and 1031 exchange consulting.

FFS delegates investment philosophies and portfolio construction to its investment adviser representatives (IARs), who operate under their own DBAs and may provide discretionary or non‑discretionary management, create model portfolios, or select unaffiliated sub‑advisors such as Orion and Maple Capital while the firm conducts due diligence and oversight. IARs use client information, risk questionnaires, and ongoing monitoring to set asset allocation and suitability, and the firm can serve in ERISA fiduciary roles (including 3(38) plan management) and provide participant education.

Two features that differentiate FFS from many large enterprise advisors are a subscription‑based retirement guidance service (TheFreedomStrategies.com) for held‑away participant accounts and the firm’s broker‑dealer activities: FFS is SEC/FINRA‑registered, clears brokerage through Pershing, and permits IARs to act as registered representatives who may receive commissions on commissionable products, arrangements the brochure discloses can create conflicts of interest (including ticket‑charge sharing and custodian compensation arrangements with Axos). The firm also emphasizes niche offerings — such as 1031 exchange consulting and co‑advised private wealth portfolios with Maple Capital — reflecting a broader mix of product, custody and referral relationships than is typical for many peers.