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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-11-02 |
| RI | RA | APPROVED | 2018-11-02 |
Branch Locations
935 Jefferson Boulevard Suite 2000, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | Warwick | RI | 03/2016 | 12/2016 |
| Sii | Warwick | RI | 12/2016 | 11/2018 |
| Royal Alliance Associates, Inc. | Warwick | RI | 11/2018 | Present |
1. INSURANCE BROKER POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2017 ADDRESS: 935 Jefferson BLVD, Suite 2000, Warwick RI 02886, United States DESCRIPTION: Insurance Broker: Life, Annuities, LTC, and DI 2. INDEPENDENCE FINANCIAL PARTNERS POSITION: Financial Advisor NATURE: insurance agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 176 SECURITIES TRADING HOURS: 143 START DATE: 12/16/2016 ADDRESS: 935 Jefferson BLVD, Suite 2000, Warwick RI 02886, United States DESCRIPTION: service clients and get new business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-11 |
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