DD
Dustin J. Defranco
FOUNDERS FINANCIAL ALLIANCE
Wheeling, WV 26003
Some features on this profile are disabled
CRD#: 5317625
DD
Professional summary
Dustin Joseph Defranco, who also goes by Dustin Defranco, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Wheeling, West Virginia and LPL FINANCIAL LLC located in Wheeling, West Virginia.
Dustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Dustin has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dustin Defranco
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. 3/15/2017 - Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 04/11/2016 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Innovative Founders Financial Alliance, an independent investment advisor firm. I started this business activity on 3/15/17. I expect to spend approximately 160 hours/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. 2. 1/27/2022 - Founders Financial Alliance, LLC - DBA: (Hybrid) DeFranco Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 01/01/2022 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 160 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. 3) 04/08/2025 - DeFranco Financial - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 01/24/2022 - 160 Hrs/Mth - 7 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Dustin Joseph Defranco'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
April 8, 2016 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
Office #1: 1320 National Rd., Wheeling, WV 26003RIA
CRD#: 173011
Wheeling, WV
Current
April 8, 2016 - Present
LPL FINANCIAL LLC
Office #1: 1320 National Rd, Wheeling, WV 26003RIA
BD
CRD#: 6413
Wheeling, WV
Past
October 1, 2012 - April 20, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SHADYSIDE, OH
Past
October 1, 2012 - April 20, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SHADYSIDE, OH
Past
May 15, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SHADYSIDE, OH
Past
May 15, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SHADYSIDE, OH
Past
September 10, 2007 - May 16, 2008
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
CALIFORNIA, PA
Past
September 10, 2007 - May 16, 2008
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CALIFORNIA, PA
Past
June 27, 2007 - July 31, 2007
EDWARD JONES
RIA
CRD#: 250
ST. LOUIS, MO
Past
May 28, 2007 - July 31, 2007
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alaska(2/20/2023)
RR
California(2/8/2017)
RR
Florida(4/8/2016)
RR
Georgia(6/23/2018)
RR
Illinois(2/8/2017)
RR
Indiana(6/23/2018)
RR
Kansas(11/30/2018)
RR
Maryland(2/8/2017)
RR
Massachusetts(2/8/2017)
RR
Michigan(6/23/2018)
RR
Minnesota(2/8/2017)
RR
Montana(7/24/2023)
RR
New Jersey(2/8/2017)
RR
North Carolina(2/8/2017)
RR
Ohio(4/8/2016)
IAR
Ohio(4/8/2016)
RR
Pennsylvania(3/20/2017)
RR
South Carolina(2/8/2017)
RR
Virginia(10/11/2017)
RR
West Virginia(4/8/2016)
IAR
West Virginia(5/12/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FOUNDERS FINANCIAL ALLIANCE, LLC
CRD#: 173011Wheeling, WV 26003TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
