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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2018-11-02 |
Branch Locations
8816 Six Forks Road Suite 301, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors Inc | Raleigh | NC | 06/2011 | 11/2018 |
| Royal Alliance Associates, Inc. | Raleigh | NC | 11/2018 | Present |
1. CAPITOL FINANCIAL SOLUTIONS POSITION: Director of Compliance NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 180 START DATE: 06/20/2011 ADDRESS: 8816 Six Forks Rd., Ste. 301, Raleigh NC 27615, United States DESCRIPTION: Supervisory delegate, responsible for supervision of registered advisors, non-registered persons; conducts responsibilities of OSJ 2. ASHLEY HOWELL POSITION: Arbitrator NATURE: individual INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/15/2021 ADDRESS: 5005 Celtic Ct, Raleigh NC 27612, United States DESCRIPTION: Acting as a non-public FINRA arbitrator
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-26 |
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