Firm Start Year
1997
No.of Employees
100-499
CRD#
2075689
Firm CRD#
468
Insurance License#
0798553
Name of Broker/Dealer
Royal Alliance Associates, Inc.
Name of Custodial Firm
Charles Schwab & Fidelity
States Licensed in
CA
Years of Experience in Financial Services
29
Number of Years with Current Firm
29
Work with the following types of clients
Businesses, Individual Investors
Registered Investment Advisor
Yes
Registered Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Certifications, Accreditations & Designations
CFP®, CERTIFIED FINANCIAL PLANNER" Certificant
Securities Licenses
Series 63, Series 24, Series 22, Series 7, Series 6
Insurance and Annuity Licenses
Disability, Health, Life, Long Term Care, Variable Annuity, Variable Life, Annuity
Financial Organization Memberships
Provisors
Firm's Number of Clients
1500
Assets Managed by Firm
$9.4 Billion
Advisor's Number of Managed Clients
200
Assets Managed by Advisor
$583,000,000
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$500,000
Fee % Based on Assets
.75%- 1%
Additional Details on Charges
The actual fee for any portfolio is negotiated based on the unique objectives of each client, the complexity of the investment plan, the types of assets held in the account, and other factors.
Minimum Fee Charged for Managed Accounts
$3,500
Securities Offered through Signator Investors,
Inc., Member FINRA, SIPC
2121 Avenue of the Stars, Suite 1600, Los
Angeles, CA 90067 (310) 712-2323.
SEIA, LLC and its investment advisory services
are offered independent of Signator Investors,
Inc., and any subsidiaries or affiliates.