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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2019-01-09 |
| FL | RA | APPROVED | 2019-01-08 |
Branch Locations
2770 Commerce Drive Nw, Rochester, MN 55901 • United States
Tampa, FL • 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 |
|---|---|---|---|---|
| Signator Investors, Inc. | St. Petersburg | FL | 05/2016 | 12/2018 |
| Royal Alliance | Rochester | MN | 12/2018 | Present |
1. COLLECTIVE FINANCIAL GROUP - SECURITIES SUPPORT DEPARTMENT POSITION: OSJ Manager Delegate NATURE: Corporation - DBA for branch marketing and services for advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/13/2020 ADDRESS: 2770 Commerce Dr NW, Rochester MN 55901, United States DESCRIPTION: Supervision - OSJ Branch Manager, Delegate for Lisa Doherty 2. SECURITIES SUPPORT UNIT DBA SECURITIES SUPPORT DEPARTMENT POSITION: OSJ Branch Manager Delegate NATURE: LLP INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 140 START DATE: 01/02/2019 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: Supervision -OSJ Branch Manager Delegate for Lisa Doherty 3. ADVISOR'S ADVANTAGE NETWORK (AAN) POSITION: OSJ Manager Delegate NATURE: DBA for Securities Support Unit (SSU) INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 140 START DATE: 05/06/2024 ADDRESS: 2770 Commerce Drive NW, Rochester MN 59901, United States DESCRIPTION: Supervision - OSJ Branch Manager Delegate for Lisa Doherty
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-26 |
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