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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-04 |
| SC | RA | APPROVED | 2021-12-15 |
| CT | RA | APPROVED | 2021-10-13 |
| PA | RA | APPROVED | 2021-10-13 |
| TX | RA | APPROVED_RES | 2017-02-03 |
| IN | RA | APPROVED | 2016-12-08 |
| MA | RA | APPROVED | 2012-05-08 |
| OH | RA | APPROVED | 2012-01-30 |
| RI | RA | APPROVED | 2007-01-16 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Providence | RI | 01/2007 | 08/2023 |
| Karen Emma, Universal Wealth Management, Llc | Providence | RI | 10/2013 | Present |
| Osaic Wealth, Inc | Providence | RI | 08/2023 | Present |
1) KAREN EMMA, UNIVERSAL HEALTHCARE / UNIVERSAL WEALTH MANAGEMENT, LLC POSITION: Insurance Producer NATURE: Universal Healthcare / Universal Wealth Mangement, LLCInvestments, Insurance, PlanningTraditional Insurance SalesLife, Health/Medicare, Annuities Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 10 START DATE: 01/10/2007 ADDRESS: 945 Reservoir Avenue, Cranston RI 02910, United States DESCRIPTION: Individual and Group Life and Health Insurance,Individual and Group Medicare Broker SpecialistTraditional Insurance Broker/Specialist 2) KAREN EMMA POSITION: notary public NATURE: notary public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/23/2012 ADDRESS: Universal Wealth Management, 945 Reservoir Avenue, Cranston RI 02910, United States DESCRIPTION: My duties are only to notarize paperwork when necessary. 4) UNIVERSAL WEALTH MANAGEMENT, LLC POSITION: President / Founding Partner NATURE: Sole Proprietorship, LLC, Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/10/2007 ADDRESS: 945 Reservoir Avenue, Cranston RI 02910, United States DESCRIPTION: UNIVERSAL WEALTH MANAGEMENT IS MY LLC THAT WAS SET UP AS THE BUSINESS NAME FOR MY BUSINESS HERE AT ROYAL ALLIANCE. THIS IS ONLY FOR NAME PURPOSED OF MY LLC AND FUNDS FLOW INTO THE UNIVERSAL WEALTH MANAGEMENT LLC FROM ROYAL ALLIANCE. 5) KEW REALTY POSITION: President NATURE: KEW Realty is currently a Sole Proprietorship for Karen Emma and is solely rental property for Karen Emma in property located at 945 Reservoir Avenue, Cranston, RI 02910 INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2021 ADDRESS: 945 Reservoir Avenue, Cranston RI 02910, United States DESCRIPTION: KEW Realty is established as Karen Emma, President for rental property currently at 945 Reservoir Avenue, Cranston, RI 02910
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-14 |
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