TrueAdvisor
TrueAdvisor
SM
SM

Stevin Moses

Founders Financial Securities, LLC
28 Years of Experience
Willis, TX
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Stevin Moses is a registered investment advisor at Founders Financial Securities, LLC, based in Willis, TX, with 28 years of industry experience. Stevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Business Owners, Corporate Executives, Education Planning, and 8 more. Their firm serves 9,870 clients with $4.1B in assets under management.

Founders Financial Securities, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
117 advisors
Number of Clients
9,870 clients
Average Client Portfolio
$419K average
Assets Under Management
$4.1B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1M+1.40%

Fees vary by program and are negotiable. Maximum rates reach up to 2.75% depending on the specific program selected. The schedule reflects Private Wealth Solutions tiers; other programs charge flat percentage rates up to 2.75%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Willis, TX

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
March 2016
Customer Dispute
March 2016
Denied
Customer Dispute
October 2015
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stevin is involved in insurance sales through Sound Choice Financial LLC, offering life, long-term care, and disability insurance products since 2016. This activity requires minimal time.

Employment History
Current Registrations
Founders Financial Securities LLCBroker
March 2016 - Present · 10 yrs 7 mos
Founders Financial Securities, LLC
March 2016 - Present · 10 yrs 7 mos
Previous Registrations
Northstar Wealth Partners LLC
February 2015 - April 2016 · 1 yr 2 mos
LPL Financial LLC
January 2012 - November 2015 · 3 yrs 10 mos
Stratos Wealth Partners, LTD
September 2010 - December 2011 · 1 yr 3 mos
LPL Financial LLCBroker
July 2009 - April 2016 · 6 yrs 9 mos
LPL Financial Corporation
July 2009 - November 2010 · 1 yr 4 mos
People's Securities, INC.Broker
September 2004 - July 2009 · 4 yrs 10 mos
People's Securities, INC.
September 2004 - July 2009 · 4 yrs 10 mos
MML Investors Services, INC.
July 2003 - September 2004 · 1 yr 2 mos
MML Investors Services, INC.Broker
March 2003 - September 2004 · 1 yr 6 mos
Ids Life Insurance CompanyBroker
February 1998 - March 2003 · 5 yrs 1 mo
American Express Financial Advisors INC.Broker
February 1998 - March 2003 · 5 yrs 1 mo
American Express Financial Advisors, INC.
January 1998 - March 2003 · 5 yrs 2 mos
State Registrations4 states
AZCTFLTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Willis, TX →All financial advisors in Texas →