Ethan J. Porter

FOUNDERS FINANCIAL ALLIANCE

Raleigh, NC 27615

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CRD#: 6885065

Professional summary

Ethan James Porter is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Cornelius, North Carolina.

Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Ethan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

1) 5/25/2021- Founders Wealth Advisors, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Raleigh, NC. 2) 5/25/2021- Founders Wealth, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Raleigh, NC. 3) 6/3/2021 - Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/1/21 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC investment advisor firm. I started this business activity in 6/2021. 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. 4) 6/3/2021 - Founders Financial Alliance, LLC - DBA: (Hybrid) Founders Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 06/1/21 - 160 Hours Per Month/1 Hour During Securities Trading - I provide investment advisory services through Founders Financial Alliance, LLC investment advisor firm. I started this business activity in 6/2021. 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. 5) 09/16/2025 - Asset Insure, Inc. - Investment Related - Insurance Agency - Raleigh, NC - Start Date:10/15/2021 - 60 Hrs/Mth - 3 Hrs During Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan James Porter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 6, 2021 - Present

FOUNDERS FINANCIAL ALLIANCE, LLC

Office #1: 9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615

RIA

CRD#: 173011

Raleigh, NC

Current

July 28, 2021 - Present

LPL FINANCIAL LLC

Office #1: 19109 W Catawba Ave Ste 200, Cornelius, NC 28031Office #2: 9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615

RIA

CRD#: 6413

CORNELIUS, NC

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".

FOUNDERS FINANCIAL ALLIANCE, 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(6/21/2024)

Arkansas
(6/21/2024)

Connecticut
(6/21/2024)

Delaware
(6/21/2024)

Florida
(6/21/2024)

Georgia
(6/21/2024)

Illinois
(6/21/2024)

Maryland
(6/21/2024)

New York
(6/21/2024)

North Carolina
(10/6/2021)

IAR

North Carolina
(12/6/2021)

Ohio
(6/22/2024)

South Carolina
(6/21/2024)

Tennessee
(6/21/2024)

Texas
(6/21/2024)

Vermont
(6/21/2024)

Virginia
(6/21/2024)

Wisconsin
(6/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/28/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/8/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

FOUNDERS FINANCIAL ALLIANCE, 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)

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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

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNDERS FINANCIAL ADV 2A (3/21/2025)

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.

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Ethan J. Porter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan James Porter's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDERS FINANCIAL ALLIANCE, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

FOUNDERS FINANCIAL ALLIANCE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2021

Series 7TO

Date: 7/28/2021

SIE

Date: 12/8/2020

FINRA

Current Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDERS FINANCIAL ALLIANCE, LLC

TRUST BUT VERIFY

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