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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-06-20 |
| AR | RA | APPROVED | 2023-06-19 |
| TX | RA | APPROVED_RES | 2017-02-13 |
| OK | RA | APPROVED | 2016-04-21 |
Branch Locations
6660 S Sheridan Rd Suite 260, Tulsa, OK 74133 • 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 |
|---|---|---|---|---|
| Self | Tulsa | OK | 01/1986 | Present |
| First Independent Advisory Services, Inc. | Tulsa | OK | 08/2004 | 12/2016 |
| Royal Alliance Associates, Inc. | Tulsa | OK | 02/2016 | Present |
1) NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public. Inactive. Do not promote to the public. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/11/2018 ADDRESS: 6660 S. Sheridan Road, Suite 260, Tulsa OK 74133, United States DESCRIPTION: Notary Public. Inactive. Do not promote to the public. 2) 520 ASSOCIATES LLC POSITION: Owner NATURE: Single member LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 11/04/2015 ADDRESS: 6660 S. Sheridan Road, Suite 260, Tulsa OK 74133-1766, United States DESCRIPTION: Registered representative and investment advisor representative. Business owner, usual and customary.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1982-03-25 |
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