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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2017-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wrp Investments, Inc. | Youngstown | OH | 01/2008 | 01/2017 |
| Sterne Agee Financial Services, Inc. | Centerville | OH | 09/2014 | 01/2017 |
| Sterne Agee Investment Advisor Services, Inc. | Birmingham | AL | 01/2015 | 01/2017 |
| Royal Alliance Associates | Centerville | OH | 01/2017 | Present |
1. ABS FINANCIAL GROUP, INC. POSITION: Co-President NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2008 ADDRESS: 10793 Yankee St., Centerville OH 45458, United States DESCRIPTION: Financial Services Life, Disability, Long Term Care insurance Services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-22 |
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