Broker Check

Disclosures

Disclosure Statement

Financial Foundations, Inc. ("FFI") is a branch office of DFPG Investments, LLC ("DFPG"). Securities offered through DFPG, member FINRA/SIPC

Financial Foundations, Inc. is a dba of the registered entity Integrated Advisors Network, LLC (IAN), (collectively hereinafter “the Adviser” or “Financial Foundations”) was founded in 2015. Investment Advisory Services offered through IAN, a Registered Investment Advisor.   DFPG and IAN are not affiliated. 

The information provided by Financial Foundations (or any portion thereof) may not be copied or distributed without Financial Foundation’s prior written approval.  All statements are current as of the date written and does not constitute an offer or solicitation to any person in any jurisdiction in which such offer or solicitation is not authorized or to any person to whom it would be unlawful to make such offer or solicitation. 

The standard fee schedules for Financial Foundation’s strategies are shown in the firm’s Form ADV Part 2.  Financial Foundations and its affiliates do not provide tax advice. Accordingly, any discussion of U.S. tax matters contained herein (including any attachments) is not intended or written to be used, and cannot be used, in connection with the promotion, marketing or recommendation by anyone unaffiliated with Financial Foundations of any of the matters addressed herein or for the purpose of avoiding U.S. tax-related penalties.

This is neither an offer to sell nor a solicitation of an offer to buy securities. Any information contained on this website alone should not be used in making investment decisions. Investors should carefully consider the investment objectives, risks, charges, and expenses associated with any investment. Investing involves risk including the potential loss of principal. No investment strategy can guarantee a profit or protect against loss in periods of declining values. Opinions expressed are subject to change without notice and are not intended as investment advice or to predict future performance. Past performance does not guarantee future results. Consult your financial professional before making an investment decision.

This information is designed to provide general information on the subjects covered. Pursuant to IRS Circular 230, it is not, however intended to provide specific legal or tax advice and cannot be used to avoid tax penalties or to promote, market, or recommend any tax plan or arrangement. Please note that Financial Foundations, Inc. and its affiliates do not give legal or tax advice. You are encouraged to consult your tax advisor or attorney.

Annuity guarantees rely on the financial strength and claims-paying ability of the issuing insurer. Any comments regarding safe and secure investments, and guaranteed income streams refer only to fixed insurance products. They do not refer, in any way to securities or investment advisory products. Fixed Insurance and Annuity product guarantees are subject to the claims-paying ability of the issuing company and are not offered by Integrated Advisors Network.


Customer Relationship Summary (“Form CRS”)

Per regulation, Financial Foundations, Inc. (“FFI”) is required to maintain and provide a Customer Relationship Summary (“Form CRS”), which is a brief explanation of the nature of Financial Foundations' role in its relationship with clients and financial professionals.

For instances in which FFI is acting as a Broker-Dealer, FFI's Form CRS (BD) can be found here.

For instances in which FFI is acting as an RIA, FFI's Form CRS (RIA) can be found here


Relationship & Services Disclosure

FFI's DFPG Relationship & Services Disclosure provides a more thorough description of the services DFPG provides as a Broker-Dealer, how clients pay for services, and how DFPG and its financial professionals are compensated. It also explains how DFPG addresses conflicts of interest. DFPG’s Relationship & Services Disclosure can be found here.


SEC Form ADV Part 2A & 2B

As FFI is also a Registered Investment Advisor (“RIA”), per SEC regulation, FFI must regularly file a Form ADV, including this Part 2A and Part 2B Brochure. This brochure provides information about the qualifications and business practices of Financial Foundations, Inc., as an RIA. FFI's ADV can be found here: FFI ADV Part 2A and 2B.


Privacy Policy

We know that keeping your personal information private is important to you. That’s why Financial Foundations, Inc. wants you to know how we protect the information you share with us and the measures we take to safeguard your information.  Please click here to view DFPG's Privacy Policy and IAN's Privacy Policy.


Links to other Web sites

Our web site contains links to other internet sites. It is our intent to provide links only to other quality sites. However, we cannot guarantee the safety and privacy of information you provide to these linked sites. Any information collected by Web sites other than our site is not covered by this privacy policy and provisions of privacy policies contained on other web sites may differ from the provisions of our privacy policy.


Business Continuity Plan

Per regulation, Financial Foundations, Inc., DFPG Investments, LLC and Integrated Advisors Network, LLC are required to maintain a Business Continuity Plan describing measures to ensure continuity in the event of a significant business disruption.  If you would like a copy of our Business Continuity Plan, please reach out to us at admin@financialfoundationsinc.com.