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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-10-18 |
| TX | RA | APPROVED | 2019-07-30 |
| PA | RA | APPROVED | 2018-11-02 |
Branch Locations
Bala Financial Group 208 Old Lancaster Road, Devon, PA 19333 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Boston | MA | 06/1995 | 11/2018 |
| Royal Alliance Associates, Inc. | Devon | PA | 11/2018 | 08/2023 |
| Osaic Wealth, Inc | Devon | PA | 08/2023 | Present |
1. INSURANCE BROKERAGE...........INSURANCE BROKER: HEALTH AND GROUP BENEFITS, THE RILEY COMPANY 208 OLD LANCASTER ROAD DEVON, PA 19333, START DATE 1/1/2002, APPROX. 1 HR MO AND 0 HRS TRADING........ 2. THE RILEY COMPANY - INSURANCE BROKERAGE POSITION: Insurance brokerage NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2008 ADDRESS: 208 Old Lancaster Rd, Devon PA 19333, United States DESCRIPTION: Sales and marketing of fixed annuities and non variable insurance and health insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-31 |
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