WR
William V. Rowe
FOUNDERS FINANCIAL SECURITIES LLC
Dayton, OH 45458
Some features on this profile are disabled
CRD#: 4441660
WR
Professional summary
William Vernon Rowe II, who also goes by William Vernon Rowe, Bill Rowe, is a registered financial advisor currently at FOUNDERS FINANCIAL SECURITIES LLC located in Dayton, Ohio.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. William has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Vernon Rowe | Bill Rowe
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. Covenant Planning, LLC / Covenant Planning and Wealth Management; Investment Related; 1800 Lyons Road, Centerville, OH 45458; Insurance, Fixed Product Sales; Planning and Wealth Management; President; 04/2019; 40 hours per month; 40 hours per month during trading; Financial Planning, Insurance Planning. 2. Isagenix; Not investment related; 155 E RivoloHOA Manan Blvd. Gilbert, AZ 85297; health and wellness; consultant; 10/24/2011; 8 hours per month, 2 during trading hours. Discuss health and wellness products and provide opportunity to purchase products. 3. I-insureme: not investment related; 1901 E. University Dr. Mesa, AZ 85203, referrals; 2/2015; 1 hour per month, 0 during trading hours. Commissions received for referral commissions in past. No new business. 4. Z131 LLC: non investment related; 1800 Lyons Rd. Centerville, OH 45458; owner/sole member; 3/2019: 4 hours per month, 4 during trading hours. Rental income received for two commercial office spaces. 5. HOA Management; not investment related; 1800 Lyons Rd. Centerville, OH 45458; manager; 10/2021; 4 hours per month; 4 during trading hours; Collection of HOA fees once per quarter and manage contractors for building. 6. Amazon Selling, Waynesville, OH, Selling used books "Fulfilled By Amazon" FBA, Not investment related, 20 hours per month, 2 hours during trading
CRS (Client Relationship Summary) - RIA
Click below to view William Vernon Rowe II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Vernon Rowe II'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
May 11, 2018 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 1800 Lyons Road, Dayton, OH 45458RIA
BD
CRD#: 137945
Dayton, OH
Current
May 14, 2021 - Present
FOUNDERS FINANCIAL SECURITIES LLC
Office #1: 1800 Lyons Road, Dayton, OH 45458RIA
BD
CRD#: 137945
Dayton, OH
Past
January 5, 2018 - April 26, 2018
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Centerville, OH
Past
January 26, 2016 - January 3, 2018
REGIS ASSET MANAGEMENT LLC
RIA
CRD#: 125872
Centerville, OH
Past
November 1, 2013 - July 14, 2014
CAPITAL CITY SECURITIES, LLC
BD
CRD#: 146001
POWELL, OH
Past
August 9, 2012 - December 31, 2015
REGIS ASSET MANAGEMENT LLC
RIA
CRD#: 125872
CENTERVILLE, OH
Past
August 18, 2008 - October 25, 2011
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CENTERVILLE, OH
Past
December 5, 2006 - June 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
CENTERVILLE, OH
Past
July 21, 2006 - June 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
CENTERVILLE, OH
Past
October 15, 2001 - July 14, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CENTERVILLE, OH
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
Arkansas(1/2/2024)
RR
Florida(1/9/2023)
RR
Georgia(3/31/2023)
RR
Indiana(1/2/2024)
RR
Kentucky(4/4/2022)
RR
North Carolina(4/6/2023)
IAR
Ohio(5/11/2018)
RR
Ohio(6/10/2022)
IAR
Texas(1/9/2023)
RR
Washington(12/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/14/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2007
Corporate Securities Limited Representative ExaminationGeneral 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#: 137945Dayton, OH 45458TRUST BUT VERIFY
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