MM
Meredith H. Moll
FOUNDATION RESOURCE MANAGEMENT
Little Rock, AR 72201
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CRD#: 4668803
MM
Professional summary
Meredith Humphrey Moll, who also goes by Meredith S. Humphrey, Meredith Suzanne Humphrey, is a registered financial advisor currently at FOUNDATION RESOURCE MANAGEMENT, INC. located in Little Rock, Arkansas.
Meredith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Meredith has worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Meredith S. Humphrey | Meredith Suzanne Humphrey
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.
2 Betswood Circle Trust; 2 Betswood Road, Little Rock, AR - investment related; Meredith & Thomas Moll are the sole trustees; Intermittent rental income from structure where our residence is located. Trust is the owner of record for our residence. November 2020; 1 hour per month devoted to other business; 0 hours devoted during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Meredith Humphrey Moll'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 2, 2017 - Present
FOUNDATION RESOURCE MANAGEMENT, INC.
Office #1: 401 W. Capitol, Suite 503, Little Rock, AR 72201RIA
CRD#: 116359
Little Rock, AR
Past
September 20, 2006 - August 19, 2010
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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".
FR
FOUNDATION RESOURCE MANAGEMENT, INC.
FOUNDATION RESOURCE MANAGEMENT, INC.
CRD#: 116359 / SEC#: 801-60714
RIA
Registered Investment Advisory firm - (11/21/2001 Approved)Alabama
Registered Investment Advisory firm - (11/30/2001 Terminated)Arkansas
Registered Investment Advisory firm - (12/3/2001 Terminated)Louisiana
Registered Investment Advisory firm - (12/13/2001 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.Highlighted states indicate IAR registrations
IAR
Alabama(5/2/2017)
IAR
Arkansas(5/2/2017)
IAR
Louisiana(5/2/2017)
IAR
Texas(5/2/2017)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
FR
FOUNDATION RESOURCE MANAGEMENT, INC.
FOUNDATION RESOURCE MANAGEMENT, INC.
CRD#: 116359 / SEC#: 801-60714
RIA
Registered Investment Advisory firm - (11/21/2001 Approved)Alabama
Registered Investment Advisory firm - (11/30/2001 Terminated)Arkansas
Registered Investment Advisory firm - (12/3/2001 Terminated)Louisiana
Registered Investment Advisory firm - (12/13/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
401 W. Capitol, Suite 503, Little Rock, AR 72201
Mailing Address
Phone number
(501) 534-2675
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 918,374,450 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2024 | ||
| 12/06/2023 | ||
| 11/01/2022 |
Red Flags
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Company Information
FOUNDATION RESOURCE MANAGEMENT, INC.
CRD#: 116359Little Rock, AR 72201TRUST BUT VERIFY
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