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Emile Paul Dufrene III

Investment Adviser Representative at FOUNDATIONS INVESTMENT ADVISORS LLC

The Woodlands, TXCRD #1986664Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
2 states
Exams Passed
5

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Emile Paul Dufrene has worked in the securities industry since 1996. They have passed the Series 65, 63, 26, and 6 examinations. They are registered to provide investment advisory services in Louisiana and Texas.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 2 states
LouisianaTexas
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 11/6/2014
Series 65
Uniform Investment Adviser Law Examination
Passed 6/1/2010
SIE
Securities Industry Essentials Examination
Passed 9/20/2017
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/6/2014
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 4/29/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Asset tierAnnual rate
All Assets2.00%
Account minimum: $5,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Foundations Investment Advisors LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FOUNDATIONS INVESTMENT ADVISORS LLCCurrent
6/20/2025The Woodlands, TX
SIMPLICITY WEALTH
2/13/20256/16/2025The Woodlands, TX
LIFEPRO ASSET MANAGEMENT
11/16/20202/14/2025The Woodlands, TX
USA WEALTH MANAGEMENT LLC
8/13/201012/31/2011New Orleans, LA

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Emile Paul Dufrene III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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Emile Paul Dufrene III - Financial Advisor in The Woodlands, TX | AdvisorFinder