Founders Financial Securities LLC

A subsidiary of Founders Financial Inc.

1020 Cromwell Bridge Road

Towson, MD 21286

(410) 308-9988

foundersfinancial.com

Year founded: 2006

Year end: Dec. 31

No. of retail offices: 42

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All 2012-2011 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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No. of reps, male
No. of reps, female
No. of reps producing $500K+ /year
No. of CFPs
No. of full-time employees
No. of fee-based advisers served
Average payout per rep, per year
Avg. annual production of top 20% reps
Total payout, per year
Cost of E&O insurance per rep, per year
Affiliation fees charged per rep, per year
Affiliation fee coverage
Securities revenues
Securities revenues: Stocks
Securities revenues: Bonds
Securities revenues: ETFs
Securities revenues: Other
Mutual fund revenues
Annuities revenues
Annuities revenues: Fixed
Annuities revenues: Variable
Annuities revenues: Other
Insurance revenue
Insurance revenues: Life
Insurance revenues: Disabilities
Insurance revenues: LTC
Insurance revenues: Other
Alternative revenues
Alternative revenues: Hedge funds
Alternative revenues: Managed futures
Alternative revenues: Private placements
Alternative revenues: REITs
Alternative revenues: Other
Other commission revenues
Fee revenues: Rep-managed accounts
Fee revenues: Firm-managed accounts
Fee revenues: Outside-managed accounts
Fee revenues: Other
Fee-based assets: Clearing firm
Fee-based assets: Advisory firm platforms
Fee-based assets: Third-party money managers
Fee-based assets: Other
Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
Allows an adviser to have his/her own RIA
RIA platform AUM
Retail accounts
Advisory accounts
Other types of accounts
Other types of accounts (specified)

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Recruitment & Staffing

	2012	2011	2010
No. of reps	60	63	60
No. of producing reps	60	63	60
No. of reps producing $100K-$499K /year	44	47	45

Payout Grid

	$0-$249,999	$250K-$499,999	$500K-$749,999	$750K-$999,999	$1,000,000+
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Revenue Breakdown

	2012	2011	2010
Total revenues	$16,943,024	$13,932,842	$12,769,766
Commission revenues	$7,532,582	$10,406,599	$10,452,283
Fee revenues	$8,783,239	$3,526,243	$2,317,483
Total revenues: Other	$627,203	0.00	0.00

Assets Breakdown

	2012	2011	2010
Total account assets	$1,519,407,696	$1,257,312,643	$946,869,794
Fee-based assets	$384,330,857	$322,356,480	$204,434,993
Total account assets: Other	$1,135,076,839	$934,956,163	$742,434,801
Average assets per rep	$25,323,462	$19,957,344	$15,781,163

Other Financials

	2012	2011	2010
Excess net capital	$656,833	$835,583	$535,088
Total operating expenses	$13,841,013	$11,701,705	$9,806,265
Pre-tax earnings	$837,728	$682,095	$646,018
Number of active client accounts	—	—	—

Key Executives

Technology

Allows advisers to use social media	Y

Allows advisers to use social media

Notes

N/A = Not available
N/D = Not disclosed
— = Information not available or not disclosed

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