Royal Alliance

We are not alone in our commitment to you. We are supported by a network of premier partners, who bring strength, stability and security to strategies that are designed to work for today and tomorrow. All with one goal in mind —your success. We think it is important you understand our partnership.

Royal Alliance is an independent wealth management firm with close to 3,200 independence- minded financial advisors with offices across the United States. Royal Alliance is not in the business of creating and marketing its own investment products—its only “products” are service and support. Therefore, Royal Alliance advisors can offer objective, independent investment advice, with no obligation to promote any particular investment. After all, we do not work for Royal Alliance— we work for our clients.

BENEFITS OF AFFILIATION

We are affiliated with Royal Alliance, an independent wealth management firm that provides our team with back office, technology, regulatory and operational support. Founded in 1969, Royal Alliance is driven by a strong philosophy that independence is key to fulfilling sound investment decisions. Our affiliation with the firm empowers us to put your interests first with objective, carefully considered offerings—with no obligation to promote any particular investment.

Royal Alliance is part of Advisor Group, one of the largest networks of independent wealth management firms in the country. Through our affiliation with Royal Alliance we benefit from a vast range of resources and support:

• A multitude of investment solutions broadens the scope of my capabilities
• Portfolio management and trading tools allow us to meet your needs with better precision
• Innovative technology ensures timely and accurate execution
• Operational support gives us the freedom to focus on you
• Compliance experts help ensure we are following firm and regulatory requirements and policies
• Client communication services provide transparent and responsive information flow

Royal Alliance plays an important role in professional oversight and combining performance with responsibility:

• We must maintain securities and insurance licenses as required by FINRA and individual states where I conduct business
• We are subject to ad-hoc credit checks conducted by Royal Alliance to ensure a history of financial responsibility
• Our business is subject to ongoing auditing to align state and national regulatory requirements
• We are required to attend annual compliance and continuing education meetings to ensure knowledge about any changes in the regulatory environment
• The products we offer have gone through a rigorous due diligence process and evaluation 

OUR CUSTODIAN: PERSHING

Have you ever wondered what happens to your funds once you’ve decided to make an investment? Your brokerage account assets are not held at our firm, nor are they held at Royal Alliance. They are held at a clearing firm, a separate and independent entity. Royal Alliance works with Pershing LLC (Member, FINRA, NYSE, and SIPC), a subsidiary of The Bank of New York Mellon Corporation, the nation’s oldest continuously operating bank. Pershing is a leading provider of global financial services to institutions, corporations, and high-net-worth individuals. Pershing handles confirmation, delivery and settlement of your financial transactions. Additionally, it prepares and sends you periodic account statements and transaction confirmations. It also employs technology and procedures designed to ensure that transactions are processed in a timely and efficient manner. Pershing is regulated by the SEC and FINRA, the regulatory bodies that also oversee broker-dealers.