Royal Alliance is a part of Advisor Group, a nationally recognized broker dealer firm. They are an industry leader with a client centered philosophy that encourages long-term relationships. They provide regulatory compliance oversight, guidance, training and access to a full array of the most innovative investment products and world class money managers in the industry. Royal Alliance is a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency. (FINRA.)
Pershing is a well established leader in the financial services industry and one of the largest New York Stock Exchange Securities Clearing Firm. They are a part of the Bank of New York, which is the bank for the U.S. Treasury. Pershing provides us with access to securities listed on all major exchanges, including the New York Stock Exchange, the American Stock Exchange, most regional exchanges and the over the counter market. Pershing executes and clears all exchange and over the counter securities transactions as agent for, and on the instruction of Royal Alliance Associates, Inc. Pershing is the custodian for assets held in brokerage accounts through Royal Alliance.
The mission of Certified Financial Planner Board of Standards, Inc. (CFP Board) is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning.
To learn more about the Financial Industry Regulatory Authority (FINRA), please visit www.finra.org
Member of SIPC. Securities in your account protected up to $500,000. For details, please see www.sipc.org
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