TP
Tommy W. Porter
FOUNDERS FINANCIAL ALLIANCE
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 2198860
TP
Professional summary
Tommy Wayne Porter JR, who also goes by Tom W Porter Jr, Tom Porter, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Raleigh, North Carolina.
Tommy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Tommy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom W Porter Jr | Tom Porter
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.
1. 3/8/2016 - Founders Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/15/16 - 40 Hours Per Month/2 Hours During Securities Trading. 2. 12/15/2017 - Founders Wealth Holdings, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 1/9/2018 - Founders Wealth, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2018 - 20 Hours Per Month/1 Hour During Securities Trading. 4. 10/18/2018 - No Business Name - Investment Related - Home Based - Non-Variable Insurance - Insurance Agent - Start Date: 09/27/2018 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 6/2/2020 - Investment Related - Salisbury NC 28147 - Real Estate Rental - Started 06/05/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Inherited commercial real estate property. 6. 3/24/2021 - Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Managing Member - Started 02/15/16 - 160 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity on 2/15/2016. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 3/24/2021 - Founders Financial Alliance, LLC - DBA: (Hybrid) Founders Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 01/01/2018 - 20 Hours Per Month/1 Hour During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 3/2021. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 9/3/2021 - Investment Related - Salisbury, NC 28147; and 9212 Falls of Neuse Rd., Raleigh NC 27615 - Real Estate Rental - Started 06/05/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Commercial real estate property rental/leasing/sub-leasing. 9. 12/17/2024- Asset Insure, Inc- Insurance Agency- INV Related- At reported business location(s)- Start date 11/10/2020- 40 Hours Per Month- 1 Hour During Trading 10. 08/06/2025 - Founders Tax, LLC - Tax Prep/Accounting/CPA - INV Related- At reported business location(s)- Start date 07/25/2025 - 8 Hours Per Month- 0 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Tommy Wayne Porter JR'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
October 3, 2014 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
Office #1: 9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615RIA
CRD#: 173011
Raleigh, NC
Current
August 15, 2014 - Present
LPL FINANCIAL LLC
Office #1: 9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615RIA
BD
CRD#: 6413
Raleigh, NC
Past
January 3, 2005 - August 22, 2014
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHAPEL HILL, NC
Past
January 3, 2005 - August 22, 2014
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHAPEL HILL, NC
Past
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
RIA
CRD#: 120471
CHAPEL HILL, NC
Past
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
Past
July 9, 1998 - September 30, 2002
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CHAPEL HILL, NC
Past
August 1, 1996 - September 30, 2002
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 31, 1993 - August 21, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 21, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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 ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)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
Alabama(1/8/2015)
RR
Alaska(4/13/2015)
RR
Arizona(4/13/2015)
RR
Arkansas(4/13/2015)
RR
California(8/15/2014)
RR
Colorado(8/15/2014)
RR
Connecticut(4/13/2015)
RR
Delaware(4/13/2015)
RR
District of Columbia(8/15/2014)
RR
Florida(8/15/2014)
RR
Georgia(8/15/2014)
RR
Hawaii(4/13/2015)
RR
Idaho(4/13/2015)
RR
Illinois(4/13/2015)
RR
Indiana(4/13/2015)
RR
Iowa(4/13/2015)
RR
Kansas(2/24/2015)
RR
Kentucky(4/13/2015)
RR
Louisiana(4/13/2015)
RR
Maine(8/15/2014)
RR
Maryland(8/15/2014)
RR
Massachusetts(8/15/2014)
RR
Michigan(1/8/2015)
RR
Minnesota(1/8/2015)
RR
Mississippi(4/13/2015)
RR
Missouri(4/13/2015)
RR
Montana(4/13/2015)
RR
Nebraska(4/17/2015)
RR
Nevada(4/13/2015)
RR
New Hampshire(4/13/2015)
RR
New Jersey(8/15/2014)
RR
New Mexico(1/8/2015)
RR
New York(8/15/2014)
RR
North Carolina(8/15/2014)
IAR
North Carolina(10/3/2014)
RR
North Dakota(4/13/2015)
RR
Ohio(4/13/2015)
RR
Oklahoma(4/13/2015)
RR
Oregon(1/8/2015)
RR
Pennsylvania(8/15/2014)
RR
Rhode Island(4/13/2015)
RR
South Carolina(8/15/2014)
RR
South Dakota(4/13/2015)
RR
Tennessee(3/22/2022)
RR
Texas(8/15/2014)
IAR
Texas(5/19/2015)
RR
Utah(4/13/2015)
RR
Vermont(4/13/2015)
RR
Virgin Islands(4/13/2015)
RR
Virginia(8/15/2014)
RR
Washington(4/13/2015)
RR
West Virginia(8/15/2014)
RR
Wisconsin(4/13/2015)
RR
Wyoming(4/13/2015)
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
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
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 ALLIANCE, LLC
CRD#: 173011Raleigh, NC 27615TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
