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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-11-28 |
| IL | RA | APPROVED | 2018-11-02 |
| WI | RA | APPROVED | 2018-11-02 |
Branch Locations
125 N Executive Drive Suite 106, Brookfield, WI 53005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Brookfield | WI | 05/1983 | 11/2018 |
| Royal Alliance Associates, Inc. | Brookfield | WI | 11/2018 | Present |
1. JAMES R. WISNIEWSKI POSITION: owner NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/15/2019 ADDRESS: 125 N EXECUTIVE DR. SUITE 106, BROOKFIELD, WI 53005 DESCRIPTION: Fixed annuity sales 2.STRATEGIC WEALTH & LEGACY ADVISORS POSITION: owner/Sr. Partner NATURE: Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 100 START DATE: 01/01/1800 ADDRESS: W301 S1550 Brandybrook Road, Waukesha WI 53188, United States DESCRIPTION: Registered Representative/Investment Advisory Services Associate 3. INSURANCE ANNUITY BROKERAGE -ALL LINES POSITION: Broker NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/06/2019 ADDRESS: 125 N EXECUTIVE DR. SUITE 106, BROOKFIELD, WI 53005 DESCRIPTION: As a broker Client wants 5 year fixed annuity through Equitable Life at 3.8% 4. FINANCIAL SERVICES POSITION: Owner NATURE: Sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2023 ADDRESS: 125 N. Executive Drive Suite 106, Brookfield WI 53005, United States DESCRIPTION: Financial services. Buying and selling of mutual funds, managed accounts, insurance and annuities, 5. JAMES WISNIEWSKI POSITION: agent - broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 02/01/1984 ADDRESS: W301 S1550 Brandybrook Road, Waukesha WI 53188, United States DESCRIPTION: Agent for fixed annuities, disability, term life, Group Health, Group Life Group Dental
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-06 |
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