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Investment Adviser Firm Summary

ROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131 / SEC# 8-40218, 801-54859)
Alternate Names: A&M FINANCIAL , A&M FINANCIAL SERVICES , ADVISOR SERVICES GROUP LLC , AFFILIATED ADVISORS , ALLEGIANT INVESTMENTS AND INSURANCE , ANDERSON-HANSEN TEAM , ARK WEALTH MANAGEMENT , ARMSTRONG WEALTH MANAGEMENT , ARROWPOINT INVESTMENT SERVICES , ASSOCIATED FINANCIAL ADVISORS, LTD. , ATCHLEY FINANCIAL GROUP INC. , ATM FINANCIAL SERVICES , BACH INVESTMENTS PLUS, LLC , BEACON ADVISOR GROUP , BENEFIT MANAGEMENT SPECIALISTS 360 , BEVERLY HILLS FINANCIAL PLANNERS , BHK FINANCIAL SERVICES, INC. , BLUMARK , BONCZEK FINANCIAL SERVICES , BOSTON STREET PRIVATE , BRENKOVICH FINANCIAL MANAGEMENT , BRUNO ASSET MANAGEMENT , CENTURION WEALTH ADVISORS , CHESTNUT STREET ADVISORS , CLARKSTON FINANCIAL SERVICES , CLASS ADVISORS , CLINE FINANCIAL PARTNERS , CORNERSTONE INVESTMENT GROUP , CROWN FINANCIAL PARTNERS , DALY & ASSOCIATES , DAUTERMAN FINANCIAL , DAVIDSON FINANCIAL PLANNING , DB WEALTH MANAGEMENT LLC , DILORENZO & BARLETTA WEALTH MANAGEMENT , DIOGENES GROUP , ELCHERT FINANCIAL INC. , ELIASON FINANCIAL ASSOCIATES , ENCOMPASS FINANCIAL PARTNERS , FAITH 401K & MONEY MANAGEMENT, LLC , FAMILY INVESTMENT MANAGEMENT , FINANCIAL LIFE PLANS , FINANCIAL LIFE PLANS MARKETING NAME , FIRST CHARTER FINANCIAL CORPORATION , FIRST SIGNATURE SERVICES , FOREST VIEW FINANCIAL , FOXTON FINANCIAL, INC. , FRANK MARANO BPF , GARDEN STATE CAPITAL INVESTMENTS, LLC , GENERATIONAL FINANCIAL ADVISORS , GEORGE WEALTH MANAGEMENT , HALLMANN FINANCIAL RESOURCES , HALLMANN FINANCIAL SERVICES , HARTWELL FINANCIAL SERVICES , HENHAN FINANCIAL GROUP , HOLLISTER FINANCIAL LLC , HORIZON FINANCIAL GROUP , HUNZINGER FINANCIAL SERVICES , IMPACT PLANNERS , INFORMATIVE FINANCIAL SERVICES , INTEGRATED FINANCIAL GROUP, INC , INTEGRATED INVESTMENTS, INC. , INVESTMENT CONSULTANTS & MANAGEMENT COMPANY , J ELCHERT WEALTH MANAGEMENT , J SMITH LANIER & CO RETIREMENT SERVICES GROUP , JENNINGS COOK FINANCIAL SERVICES , JPJ INVESTMENTS , KBK WEALTH STRATEGIES, LLC , LAKESHORE WEALTH ADVISORS , LESTRANGE & SON'S , LIBERTY CAPITAL MANAGEMENT , LIBERTY CROWN FINANCIAL , LINCOLN A. BOYLE , LORD & JONES FINANCIAL , MATTOS CAPITAL MANAGEMENT , MCDONALD FINANCIAL SERVICES LLC , MCLAUGHLIN INVESTMENT , MCROBERTS AND ASSOCIATES , MONAGHAN & ASSOCIATES INS. & INVESTMENT SERVICES , NOBEL WEALTH ADVISORS , NWF ADVISORY GROUP , OAKBRIDE ASSET MANAGEMENT , OAKBRIDGE ASSET MANAGEMENT , OLD TOWN WEALTH ADVISORS , PACIFIC ALLIANCE SECURITIES CORPORATION , PAWULA FINANCIAL GROUP , PENDULUM WEALTH ADVISORY , PERSPECTIVE6 WEALTH ADVISORS , PETERSEN INVESTMENT PLANNING , PETERSON WEALTH MANAGEMENT , PREMIER FINANCIAL PARTNERS , PREMIER NETWORK , PRIME WEALTH PARTNERS , PRIVATE WEALTH MANAGEMENT , PROJECT SAFE , QUESTMONT STRATEGIC WEALTH ADVISORS , R. L. DAUTERMAN WEALTH MANAGEMENT , RA FINANCIAL CONSULTANTS , RANKER-HANSHAW FINANCIAL GROUP , RETIREMENT SERVICES GROUP , ROBERT HL BURNS FINANICAL SERVICES INC , ROBERTS FINANCIAL GROUP , ROGERS WEALTH MANAGEMENT , ROYAL ALLIANCE ASSOCIATES, INC. , ROYAL FINANCIAL GROUP , RYAN & JANOWSKY FINANCIAL STRATEGIES GROUP , SEALEY INVESTMENT GROUP , SES FINANCIAL BENEFITS CONSULTING LLC , SHELTER ROCK FINANCIAL GROUP , SHRADER AND ASSOCIATES , SOUNDVIEW WEALTH MANAGEMENT GROUP LLC , STEEL RIDGE ADVISORS , STONEBRIDGE FINANCIAL SERVICES GROUP , SUMMIT FINANCIAL ADVISORS , SUNFLOWER , TAYLOR & PADGET - FOR JOHN FARMER , TEN HAAGEN FINANCIAL GROUP , TH HOTTLEMAN AND ASSOCIATES , THE CHESTNUT STREET GROUP , THE CURATOLO GROUP , THE GOTTLIEB ADVISORY GROUP LLC , THE HAROF GROUP , THE MICHAEL CURATOLO GROUP , THE MIGLIORE GROUP , THE NELSON TEAM , THE WZONTEK GROUP , TIM ALLEN FINANCIAL ASSOCIATES , TRC ADVISORY & WEALTH MANAGEMENT , TROMANS-SLOSBURG INVESTMENTS , TRUE NORTH ADVISORY GROUP , TSM CONSULTING GROUP , UNITED FINANCIAL ADVISORS , VALERIO FINANCIAL GROUP , VANDERHOVAL FINANCIAL SERVICES INC , VARANO SPONG FINANCIAL GROUP , VERITAS RETIREMENT CONSULTANTS , W.B. MONTELL FINANCIAL SERVICES , WEALTH MANAGEMENT CONCEPTS , WEALTH MANAGEMENT FOR PHYSICIANS , WEALTH MANAGEMENT GROUP , WEALTH PRESERVATION GROUP , WEALTH PROTECTION GROUP , WEALTH WITH CLARITY , WETTIG CAPTIAL MANAGEMENT , WISE AND WORTHY...

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