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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-26
  • NY RA
    APPROVED
    Since 2021-04-26

Branch Locations

950-A Union Road Suite 120, West Seneca, NY 14224 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
United Securities Alliance Depew NY 03/2003 Present
Royal Financial Group Depew NY 03/2003 Present
Royal Alliance Associates, Inc. Depew NY 03/2007 Present
  • 03/2003 → Present
    United Securities Alliance
    Depew, NY
  • 03/2003 → Present
    Royal Financial Group
    Depew, NY
  • 03/2007 → Present
    Royal Alliance Associates, Inc.
    Depew, NY
Other Businesses

1) ROYAL ALLIANCE ASSOCIATES INC., INVESTMENT RELATED, 1780 UNION ROAD, WEST SENECA, NY 14224. IAR WITH ROYAL, SINCE 1/1/2008, 50 HRS/MTH, 50 HRS/DST. CORPORATE REGISTERED INVESTMENT ADVISOR - MANAGE PORFOLIOS FOR CLIENTS. 2) ROYAL FINANCIAL GROUP, NOT INVESTMENT RELATED, 1780 UNION ROAD, WEST SENECA, NY 14224. PARTNER, SINCE 3/1/2003, 0 HRS/HTM, 0 HRS/DST. ROYAL FINANCIAL GROUP IS THE DBA FOR OUR OSJ WITH ROYAL ALLIANCE ASSOCIATES. 3) DAVID ENO POSITION: Owner - NATURE: Other - I offer life insurance and fixed annuities to clients who need it as part of their overall financial plan/needs,through the b/d channel,or directly w/ ins. companies INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2003 ADDRESS: 950-a union rd suite 120, west seneca NY 14224, United States DESCRIPTION: as mentioned above,I get illustrations from various carriers as clients' needs arise,infrequently resulting in a life policy (term,ul)being written. 4) ROYAL FINANCIAL GROUP POSITION: sole proprietor NATURE: fixed annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/14/2023 ADDRESS: 950-a union rd, suite 120, west seneca NY 14224, United States DESCRIPTION: provide fixed rate alternatives to clients for part of their investable assets

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-05-16
S63 Uniform Securities Agent State Law Examination 1983-11-28
  • S65 Uniform Investment Adviser Law Examination
    2001-05-16
  • S63 Uniform Securities Agent State Law Examination
    1983-11-28

View on SEC IAPD

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