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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-02-13 |
| IL | RA | APPROVED | 2024-06-06 |
| IA | RA | APPROVED | 2016-12-05 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Unemployed | West Des Moines | IA | 04/2016 | 10/2016 |
| Royal Alliance Associates | West Des Moines | IA | 11/2016 | Present |
1) RA FINANCIAL CONSULTANTS, LLC POSITION: Financial Adviser NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 05/26/1999 ADDRESS: 917 39th Street, West Des Moines IA 50265, United States DESCRIPTION: Marketing name for Royal Alliance Associates, LLC. Occasional fixed insurance product sales. Last approved by Compliance 12/21/2018. 2) LUTHERAN WOMEN MISSION LEAGUE POSITION: Vice-President NATURE: Volunteer Lutheran Women's Mission Committee where we direct missionary funds of approximately $3000/year. Do fundraisers for the church and manage funeral planning for members or their families. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2024 ADDRESS: 3900 Ashworth Road, West Des Moines IA 50265, United States DESCRIPTION: Run Board meetings in the absence of the President (approximately 2x per year). Organize and coordinate funeral services and luncheon for members. Help plan and staff fundraisers. Do not touch cash. All handled by Treasurer. 3) LUTHERAN WOMEN MISSION LEAGUE POSITION: President NATURE: Volunteer Lutheran Women's Mission Committee where we direct missionary funds of approximately $3000/year.Do fundraisers for the church and manage funeral planning for members or their families. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 3900 Ashworth Road, West Des Moines IA 50265, United States DESCRIPTION: Run Board Meetings and General Meetings each occurring once a month except during summer. Organize and coordinate funeral services and luncheon for family members. Help plan and staff fundraisers. Do not touch cash as is all handled by the Treasurer.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-24 |
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