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Investment Adviser Firm Summary

ROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131 / SEC# 8-40218, 801-54859)
Alternate Names: 1752 FINANCIAL SOLUTIONS , 1752 FINANCIAL SOLUTIONS, LLC , 401KCONCEPTS , A&M FINANCIAL , A&M FINANCIAL SERVICES , ACORN CONSULTING SERVICES INC , ACORN FINANCIAL SERVICES INC , ADVANCED FINANCIAL CONSULTANTS , ADVISOR SERVICES GROUP LLC , AFFILIATED ADVISORS , ALLEGIANCE FINANCIAL ADVISORS, INC. , ALLEGIANCE FINANCIAL PARTNERS , ALLEGIANT INVESTMENTS AND INSURANCE , ALLEN WEALTH STRATEGEIS , ALLEN WEALTH STRATEGIES , AMERICAN BENEFIT FINANCIAL SERVICES, INC. , AMES FINANCIAL & RETIREMENT SOLUTIONS , ANDERSON FINANCIAL SERVICES , ANDERSON WEALTH MANAGEMENT , ANDERSON-HANSEN TEAM , ANGELA MILLER FINANCIAL & INSURANCE SERVICES , APPEL INSURANCE ADVISORS, LLC , AQUIDNECK WEALTH MANAGEMENT, LLC , ARK WEALTH MANAGEMENT , ARMSTRONG & ASSOCIATES , ARMSTRONG WEALTH MANAGEMENT , ARROWPOINT INVESTMENT SERVICES , ASPENCROSS WEALTH MANAGEMENT , ASPIRE FINANCIAL GROUP , ASPIRE FINANCIAL PARTNERS , ASSOCIATED FINANCIAL ADVISORS, LTD. , ATCHLEY FINANCIAL GROUP INC. , ATLANTIC ADVISORS LLC , ATLANTIC ADVISORS, LLC , ATLANTIC PARTNERS FINANCIAL GROUP , ATLANTIS FINANCIAL , ATLANTIS WEALTH MANAGEMENT , ATM FINANCIAL SERVICES , ATTICUS WEALTH MANAGEMENT , B & C FINANCIAL SERVICES, LLC , BACH INVESTMENTS PLUS, LLC , BAIR FINANCIAL SERVICES , BAIZE FINANCIAL CONCEPTS , BALA FINANCIAL GROUP , BALA FINANCIAL GROUP, INC. , BAXI INSURANCE AND FINANCIAL SERVICES , BEACON ADVISOR GROUP , BEAULIEU FINANCIAL GROUP , BEAULIEU WEALTH MANAGEMENT , BEECH TREE HILL WEALTH MANAGEMENT , BENCHMARK FINANCIAL SERVICES, LLC. , BENCHMARK FINANCIALBGROUP, INC , BENEFIT COMPENSATION GROUP , BENEFIT CONCEPTS , BENEFIT MANAGEMENT SPECIALISTS 360 , BENEFIT PLANNERS & COMPANY LLC , BEVERLY A. WENDT FINANCIAL PLANNING AND WEALTH MANAGEMENT , BEVERLY HILLS FINANCIAL PLANNERS , BEYOND ASSET MANAGEMENT , BHK FINANCIAL SERVICES, INC. , BIRNBAUM ADVISORY , BJFS, LLC , BLUEPRINT FINANCIAL AND INSURANCE SERVICES, LLC , BLUMARK , BOEDEKER INSURANCE SERVICES , BONCZEK FINANCIAL SERVICES , BONNIE LAFFIE FINANCIAL SERVICES , BOOK & CO. , BOSTON BAY ADVISORS TEAM , BOSTON PARTNERS INSURANCE AGENCY, LLC , BOSTON STREET PRIVATE , BOWERS DIGMANN FINANCIAL , BOWLIN FINANCIAL, LLC , BOYER FINANCIAL GROUP , BPG WEALTH MANAGEMENT LLC POWERED BY BUSINESS PLANNING GROUP , BRENKOVICH FINANCIAL MANAGEMENT , BRIMLEY FRISCH WEALTH MANAGEMENT , BRUNO ASSET MANAGEMENT , BSCC FINANCIAL , CALKINS WEALTH STRATEGIES , CAMPBELL INSURANCE & FINANCIAL SERVICES , CANYON WEALTH MANAGEMENT AND INSURANCE SOLUTIONS , CASTER FINANCIAL , CASTER FINANCIAL SERVICE , CENTINEL FINANCIAL GROUP, LLC , CENTRAL FINANCIAL GROUP , CENTRAL FINANICAL GROUP , CENTURION WEALTH ADVISORS , CFA INSURANCE , CHEESEMAN FINANCIAL , CHESTNUT STREET ADVISORS , CIA COMPANIES , CLARITY FINANCIAL PLANNING , CLARKSTON FINANCIAL SERVICES , CLASS ADVISORS , CLEARVIEW WEALTH MANAGEMENT , CLIENT 1ST FINANCIAL , CLIENT 1ST FINANCIAL LLC. , CLIENT FOCUSED ADVISORS , CLIENT FOCUSED ADVISORS, LLC , CLINE FINANCIAL PARTNERS , COMMUNITY INSURANCE & FINANCIAL SERVICES , COMPASS CONSULTING , COMPASS FINANCIAL BY ALTMEYER , COMPASS STRATEGIC PLANNING , CONCIERGE FINANCIAL ORGANIZATION , CORBIN FINANCIAL , CORBIN FINANCIAL INC. , CORE FINANCIAL , CORE FINANCIAL PARTNERS , CORNERSTONE INVESTMENT GROUP , CREATIVE BENEFIT CONCEPTS LLC , CREATIVE BENEFITS , CROWN FINANCIAL PARTNERS , DALY & ASSOCIATES , DARREL PECK INSURANCE , DAUTERMAN FINANCIAL , DAVID BALL MSF CEO , DAVIDSON FINANCIAL PLANNING , DAVIS ASSOCIATES , DAWSON & BERTRAN , DAWSON & BERTRAN INVESTMENT ADVISORS , DB WEALTH MANAGEMENT LLC , DELAWARE VALLEY FINANCIAL PARTNERS , DELLA PORTA AGENCY, LLC , DELTA STRATEGIES , DESIGN YOUR FUTURE, LLC , DILORENZO & BARLETTA WEALTH MANAGEMENT , DIOGENES GROUP , DIXON FINANCIAL , DIXON FINANCIAL, LLC , DONATO FINANCIAL GROUP LLC , DOUBLE DIAMOND FINANCIAL & INSURANCE , DOUBLE DIAMOND FINANCIAL & INSURNACE , DUART WEALTH MANAGEMENT , DUDLEY ASSET MANAGEMENT , DUNLEAVY WEALTH MANAGEMENT , DURHAM INVESTMENT SERVICES, LLC , DYNASTY RETIREMENT & FINANCIAL SERVICES , DYNASTY WEALTH MANAGEMENT SOLUTIONS , EASTERN PARTNERS FINANCIAL GROUP, LLC , EDELMAN INSURANCE MANAGEMENT GROUP, LLC...

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/10/1997

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/09/1991
Alaska 07/25/1991
Arizona 04/27/2001
Arkansas 03/10/1992
California 07/08/1997
Colorado 01/01/1999
Connecticut 10/06/1997
Delaware 06/26/1991
District of Columbia 09/10/1997
Florida 04/27/2001
Georgia 08/12/1991
Hawaii 08/20/1991
Idaho 08/15/1991
Illinois 09/17/1991
Indiana 07/25/1991
Iowa 01/01/1999
Kansas 12/11/1997
Kentucky 04/27/2001
Louisiana 10/16/2001
Maine 09/13/1991
Maryland 08/12/1991
Massachusetts 03/28/2003
Michigan 04/27/2001
Minnesota 12/02/1998
Mississippi 10/03/1997
Missouri 07/05/1991
Montana 11/07/1997
Nebraska 09/25/1997
Nevada 07/30/1991
New Hampshire 04/09/1992
New Jersey 07/02/1991
New Mexico 08/28/1991
New York 04/22/1992
North Carolina 04/10/2001
North Dakota 07/02/1991
Ohio 08/16/1999
Oklahoma 01/01/1998
Oregon 04/27/2001
Pennsylvania 04/27/2001
Puerto Rico 03/31/2008
Rhode Island 01/01/1993
South Carolina 07/17/1991
South Dakota 07/31/1991
Tennessee 10/03/1997
Texas 03/24/1989
Utah 08/06/1991
Vermont 01/19/1995
Virgin Islands 03/31/2011
Virginia 07/12/1991
Washington 09/24/1991
West Virginia 07/12/1991
Wisconsin 05/14/1992
Wyoming 07/06/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser