JD
John F. Dallavalle
FOUNDERS FINANCIAL SECURITIES LLC
Frederick, MD 21704
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CRD#: 1671261
JD
Professional summary
John Francis Dallavalle is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Frederick, Maryland.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Associated Person of Founders Financial Securities, LLC., a broker-dealer and investment adviser located at 1026 Cromwell Bridge Road Suite 100 Towson, MD 21286. Investment related. Associated person uses FFS and DBA name for investment and insurance sales. (1) DBA Frederick Financial Planners, Inc.; Investment related; 7360 Guilford Drive Ste 200A Frederick MD 21704; investment/financial services/insurance; investment advisor representative, insurance agent; start date 12/1/2015; 160 hours/month; 80 hours/month during trading; financial planning and insurance (2) Ownership in various real estate development companies including the following: P.C. Lansdowne, LLC, Guilford Professional Center LLC, , Felix's Folly, LLC, , Buckeye Quail, LLP, Felix's Development Corporation; Not Investment-related; Development of residential lots/property; President; 4-10 hours monthly; Make decisions along with joint venture partners related to development of property. (3) LOP Rental, LLP; Not Investment Related; 125 S Carroll St Frederick, MD 21704; Real estate rental; Partner; 1/1/2019; 1 hour/month; 0 hours/month during trading; Partner; Manager duties as a limited partner. (4) FSK Investment Club; Investment-related, 7360 Guilford Drive, Suite 200A, Frederick, MD 21704. Investment Club; 1/1/1984; Treasurer; Participate in monthly meetings. (5) Select Financial Services Inc.; Not Investment-related; 7360 Guilford Drive, Suite 200A; Frederick, MD 21704; Financial services; Owner; 12/5/91; 10 hours/month; 10 hours/month during trading; Consultant. (6) Leo's Pride; Investment-related; 7360 Guilford Road, Suite 200A, Frederick, MD 21704; Family Partnership/Investment; Managing Member; 1/1/1998; 10 hours/month; 0 hours/month during trading; Manage all investment for family partnership. (7) National Christian Choir; Not Investment-related; P.O. Box 1600 Germantown, MD 20875; Non-profit choir praising the Lord in public venues; Officer/Treasurer; 2/2018; 1 hour/month; 0 hours/month during trading; Volunteer position in a non-profit. Review budgets and financial reports; no handling of company operating funds; Currently direct 100% of the organization's investable assets. (8) SIODA Foundation; Investment-related; P.O. Box 68; Boonsboro, MD 21713; Non-profit scholarship foundation; 1/20/2019; 1 hour/month; 0 hours/month during trading. (9) West Patrick Exchange Corp; Not Investment Related,31 West Patrick Street, Frederick, MD 21701; Professional trade association for qualified intermediaries under IRC 1031; Director; 5/1/2012; 1 hour per month; 0 hours per month during trading hours; Company is a qualified exchange agent owned by attorneys and accountants - may pay a dividend (11) Ausherman Family Trust; Not Investment-related; 7420 Hayward Rd, Suite 101, Frederick, MD 21702; organization formed to offer grant programs to local non-profits; Trustee; 5/20/14; 1 hours/month; 0 hours/month during trading; Grant review and approval. (12) Frederick Rescue Mission; Not investment- related organization but Treasurer role with charitable organization and Chair of Investment Committee; 419 West South Street Frederick MD 21701, 10/2021, 8 hours per month, 2 during trading hours. Will have managed brokerage account with another firm that requires two officer signatures and involved in investment decisions as chair.
CRS (Client Relationship Summary) - RIA
Click below to view John Francis Dallavalle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Francis Dallavalle's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2012 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 7360 Guilford Drive Ste 200a, Frederick, MD 21704RIA
BD
CRD#: 137945
Frederick, MD
Current
January 17, 2012 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 7360 Guilford Drive Ste 200a, Frederick, MD 21704RIA
BD
CRD#: 137945
Frederick, MD
Past
June 16, 2005 - January 20, 2012
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FREDERICK, MD
Past
July 16, 2001 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
FREDERICK, MD
Past
July 2, 2001 - January 20, 2012
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FREDERICK, MD
Past
January 1, 1996 - July 2, 2001
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
June 23, 1992 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
Past
July 2, 1987 - June 23, 1992
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/6/2020)
RR
Colorado(1/3/2019)
RR
Connecticut(1/4/2021)
RR
Delaware(1/6/2020)
RR
District of Columbia(8/2/2013)
RR
Florida(1/17/2012)
RR
Georgia(1/3/2019)
RR
Maryland(1/17/2012)
IAR
Maryland(1/17/2012)
RR
Massachusetts(6/23/2017)
RR
New Jersey(8/17/2012)
RR
New Mexico(9/22/2023)
RR
New York(1/17/2012)
RR
North Carolina(6/16/2015)
RR
Ohio(1/17/2012)
RR
Pennsylvania(1/17/2012)
RR
South Carolina(1/5/2017)
RR
Virginia(1/17/2012)
RR
Wisconsin(1/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL SECURITIES LLC
7 PILLARS WEALTH MANAGEMENT | ZINAICH CAPITAL & RISK MANAGEMENT | WELCH BENEFIT GROUP | WEINBERG FINANCIAL ADVISORY | WEALTH PLANNING GROUP | WARNOCK FINANCIAL SERVICES LLC | WARNOCK FINANCIAL SERVICES | VOYAGER WEALTH MANAGEMENT | VEYDT/KING & COMPANY, INC. | TRUESENSE WEALTH MANAGEMENT, LLC | TPA FINANCIAL | TIMMICK FINANCIAL GROUP | THE ZIMMER FINANCIAL GROUP | THE INVESTMENT CENTER | THE CORNERSTONE GROUP | TAYLOR FINANCIAL | T & G FINANCIAL SOLUTIONS | SUMMIT LEGACY GROUP | STATONWALSH | SOUND CHOICE FINANCIAL LLC | SOLID ROCK WEALTH ADVISORS | SKYSON FINANCIAL GROUP | SERVANT LEADER INVESTORS | SENIOR FINANCIALS, LLC | RONALD HAMMONS | RIGG WEALTH MANAGEMENT, LLC | RESOLUTE RETIREMENT CONSULTING | PASCARELLA PLANNING GROUP | OVERDORF FINANCIAL | NOBLE FINANCIAL | MORGAN FINANCIAL GROUP LLC | MILLER FINANCIAL GROUP | MCCORD LLC | MASTERPIECE FINANCIAL GROUP | MASSEY INVESTMENT GROUP | MARYLAND WEALTH MANAGEMENT, LLC | MARSHA ROSENBERG | MARQUE CAPITAL MANAGEMENT, INC. | MAGIS WEALTH LEADERSHIP | LIPCHIN FINANCIAL GROUP LLC | LIM FINANCIAL GROUP | LIFETIME WEALTHCARE FAMILY OFFICE | LIFEHOUSE FINANCIAL GROUP | LEGACY FINANCIAL GROUP, LLC | LAMBERTSON FINANCIAL SERVICES | KUDERER FINANCIAL LLC | KESSLER INVESTMENTS | K WEST FINANCIAL PLANNING | JLIFE WEALTH MANAGEMENT | JARDON CONSULTING, LLC | J. C. KIDD & ASSOCIATES, INC. | INTEGRA FINANCIAL | HOFFMANN WEALTH MANAGEMENT | HERKERT & ASSOCIATES, INC. | GUIDED WEALTH MANAGEMENT | GREAT LAKES FINANCIAL SERVICES GROUP | GOULART PARTNERS | GOSEN INVESTMENTS, LLC | GERHART FINANCIAL SERVICES, INC. | FURTON FINANCIAL SERVICES | FTG SQUARED | FREDERICK FINANCIAL PLANNERS, INC. | FOX WEALTH SOLUTIONS | FOUNDERS FINANCIAL SECURITIES, LLC | FOUNDERS FINANCIAL SECURITIES LLC | FORT WASHINGTON FINANCIAL | FINANCIAL SECURITIES SERVICES, LLC | FINANCIAL PLANNING ASSOCIATES | FAIRWAY FINANCIAL | EVERLY FINANCIAL SERVICES | ESTABROOK AND CO. | EDM FINANCIAL ADVISORS | DREAMBRIDGE FINANCIAL | DIVERSIFIED RETIREMENT SERVICES | DHT FINANCIAL GROUP | DERICKSON FINANCIAL | DARRELL FINANCIAL SERVICES, LLC | COVENANT PLANNING AND WEALTH MANAGEMENT | COLSTON FINANCIAL GROUP | CHY FINANCIAL LLC | CHREST CPA TAX & FINANCIAL, PC | CARTOGRAPH WEALTH | CADRE ASSET MANAGEMENT | BROOKS FINANCIAL GROUP | BKG FINANCIAL, INC. | BISHOP ASSOCIATES,INC. | BENCHMARK FINANCIAL DESIGN GROUP INC | BARRY AND CAMPAGNA FINANCIAL SERVICES, INC | ASHER AND ASSOCIATES FINANCIAL | AQUINO FINANCIAL GROUP, LLC | AGORA INVESTMENTS | ABRAMOVITZ WEALTH MANAGEMENT
CRD#: 137945 / SEC#: 801-66892, 8-67137
RIA
Registered Investment Advisory firm - SEC (7/13/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Mailing Address
1026 Cromwell Bridge Road Suite 100, Towson, MD 21286
Phone number
(410) 308-9988
Established
Maryland since 09/21/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
141
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,774 |
| AUM (Assets Under Management) | $ 3,317,831,000 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/29/2024 | ||
| 09/20/2023 | ||
| 11/07/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOUNDERS FINANCIAL SECURITIES LLC
CRD#: 137945Frederick, MD 21704TRUST BUT VERIFY
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