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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2022-02-09 |
| SC | RA | APPROVED | 2022-02-07 |
Branch Locations
250 Mathis Ferry Rd Suite 200, Charleston, SC 29464 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Southeast Investor Services, Inc. | Charleston | SC | 11/2009 | Present |
| First Southeast 401(K) Fiduciaries, Inc. | Charleston | SC | 04/2010 | Present |
| Royal Alliance Associates, Inc. | Charleston | SC | 07/2021 | Present |
1. ROADSTEAD CAPITAL PARTNERS POSITION: Managing Director NATURE: Investment Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/02/2022 ADDRESS: 250 Mathis Ferry Road, Mount Pleasant SC 29464, United States DESCRIPTION: manage corporate retirement plans
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-02-04 |
| S65 | Uniform Investment Adviser Law Examination | 2008-06-12 |
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