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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-05-14 |
| VA | RA | APPROVED | 2010-06-22 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
1600 S Main Street Suite 125, Walnut Creek, CA 94596 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Walnut Creek | CA | 01/1994 | Present |
| Nwf Advisory Services, Inc. | Los Angeles | CA | 03/2009 | Present |
| Ascension Benefits & Insurance Solutions | Walnut Creek | CA | 06/2010 | Present |
1. NWF ADVISORY SERVICES, INC. POSITION: Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2009 ADDRESS: 1600 S. Main St., Suite 125, Walnut Creek CA 94596, United States DESCRIPTION: Advise clients on allocation of mutual funds. 2. NEXT STEP RETIREMENT & INSURANCE LLC POSITION: Adviser/Sales NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2025 ADDRESS: 1600 S. Main St., Suite 125, Walnut Creek CA 94596, United States DESCRIPTION: Meet with clients, prospective clients and vendors. 3. DIABLO REGIONAL ARTS ASSOCIATION POSITION: Board Member NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 ADDRESS: 1601 Civic Dr., Walnut Creek CA 94596, United States DESCRIPTION: Help provide direction for this local Center for the Arts.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-07-11 |
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