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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2019-11-14 |
Branch Locations
1250 Main Street Suite 104, Ferdinand, IN 47532 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jhfn Sii | Indianapolis | IN | 05/2012 | 11/2018 |
| Royal Alliance Associates, Inc. | Ferdinand | IN | 11/2018 | Present |
1) FERDINAND HEIMATFEST, INC. POSITION: Co-Chair NATURE: 501(c)(3) Charitable Organization - Festival Planning Committee INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/17/2016 ADDRESS: P.O. Box 133, Ferdinand IN 47532, U.S. DESCRIPTION: Help plan a festival used to raise money that is donated to our town's endowment fund. 2) DUBOIS COUNTY COMMUNITY FOUNDATION - INVESTMENT ADVISORY COMMITTEE POSITION: Voluneer NATURE: It is a 501(c)(3) not-for-profit community foundation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 601 McCrillus St., Jasper IN 47546, U.S. DESCRIPTION: It is a not-for-profit community foundation and a volunteer postilion with them. Once a quarter for 1 hour we hear the investment company that invests the assets give an update. Our only job is to make sure they are staying within their set parameters for how the money is to be invested. 3) FORESIGHT FINANCIAL MANAGEMENT POSITION: I conduct investment and insurance business under this business name. NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/01/2012 ADDRESS: 1250 Main Street, Ste 104, Ferdinand IN 47532, United States DESCRIPTION: Sales/Marketing of securities and insurance products 4) FORESIGHT FINANCIAL MANAGEMENT POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/01/2012 ADDRESS: 1250 Main Street, Ste 104, Ferdinand IN 47532, United States DESCRIPTION: SALES/MARKETING OF FIXED ANNUITIES AND NON-VARIABLE INSURANCE 5) DUBOIS COUNTY COMMUNITY FOUNDATION BOARD OF DIRECTORS POSITION: Board of Directors Member NATURE: Not-For-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022 ADDRESS: 600 Mccrillus St, Jasper IN 47546, United States DESCRIPTION: Ensure the Mission and Vison of the Dubois County Community Foundation are being met.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-06 |
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