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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-07-27 |
| GA | RA | APPROVED | 2018-10-16 |
| PA | RA | APPROVED | 2017-01-10 |
| MN | RA | APPROVED | 2016-11-04 |
| CT | RA | APPROVED | 2013-01-10 |
| SC | RA | APPROVED | 2010-08-12 |
| CO | RA | APPROVED | 2009-02-20 |
| TX | RA | APPROVED_RES | 2008-04-14 |
| FL | RA | APPROVED | 2003-08-05 |
Branch Locations
4800 N. Federal Highway Suite 210A, Boca Raton, FL 33431 • United States
4800 N. Federal Highway Suite 210-A, Boca Raton, FL 33431 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2010-01-29 |
Branch Locations
4800 N. Federal Highway Suite 210-A, Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Royal Palm Beach | FL | 12/1996 | Present |
| Baron Silver Stevens Financial Advisors, Llc | Boca Raton | FL | 01/2010 | Present |
1. BARON SILVER STEVENS FINANCIAL ADVISORS, LLC POSITION: Wealth Manager NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2010 ADDRESS: 4800 NFederal Highway, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: To prepare investment plans for clients using stocks, bonds and mutual funds. Manage and service the clients accounts. Charge a fee for assets under management. May use third party managers. 2. NOTO FINANCIAL SERVICES INC. POSITION: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 11/11/1998 ADDRESS: 4800 N Fedreal Hwy, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: This corporation was established to build name recognition as a registered rep. It also helps with the ability to contribute more money to a retirement plan. Duites include paying all office expenses out of the Corporate checking account, recommmendation of life insurance and fixed annuities. 4. NOTO FINANCIAL SERVICES, INC POSITION: Financial Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 11/11/1998 ADDRESS: 4800 N Federal Highway, Suite 210A, Boca Raton FL 33431, United States DESCRIPTION: This is a DBA was established to build name recognition and branding as a financial advisor in the securities industry.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-31 |
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