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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2021-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Mitchell | SD | 11/1989 | 08/2023 |
| Dice, Thomas Joel | Mitchell | SD | 12/2002 | 12/2019 |
| Dice Financial Investment Advisory, Llc | Mitchell | SD | 12/2019 | 12/2021 |
| Osaic Wealth, Inc | Mitchell | SD | 08/2023 | Present |
1.DICE FINANCIAL SERVICES GROUP POSITION: Advisor NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1984 ADDRESS: 1716 N. Sanborn PO Box 790, Mitchell, SD 57301, Mitchell SD 57301, United States DESCRIPTION: Sales and service of life insurance and variable annuities. 2.MITCHELL PREHISTORIC INDIAN VILLAGE PRESERVATION SOCIETY POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1978 ADDRESS: Indian Village Road Mitchell, SD 57301, Mitchell SD 57301, United States DESCRIPTION: Board member advising in the preservation and development of a 1000 year old National Historic Landmark.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1985-03-11 |
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