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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-06-13 |
Branch Locations
1100 Alakea Street 23Rd Floor, Honolulu, HI 96813 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Bryan | OH | 05/2016 | 11/2017 |
| Royal Alliance Associates, Inc. | Bryan | OH | 06/2019 | Present |
| Pacific Financial Partners | Lafayette | CA | 06/2019 | Present |
| Unemployed | Bryan | OH | 11/2017 | 06/2019 |
1. PACIFIC FINANCIAL PARTNERS POSITION: SVP Supervision NATURE: LCC - FLS Location for RAA (Luiz Boscardin) INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/13/2019 ADDRESS: 3703 Mt. Diablo Blvd, Lafayette CA 94549, United States DESCRIPTION: SVP Supervision - Delegate for the FLS/ME, DELEGATED RISK SUPERVISION OVERSIGHT OF MARKETING GROUP ASSOCIATED RR/IAR BASE. 2. FINRA DISPUTE RESOLUTION - MIDWEST DIVISION POSITION: Industry Arbitrator/Chair NATURE: Sole Proprietorship - Independent Contractor INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 03/01/1996 ADDRESS: 12348 State Route 34, Bryan OH 43506, United States DESCRIPTION: Industry Arbitrator - Part of a three-person panel. Arbitrate FINRA-related cases involving brokerage firms, outside representatives, and customers unrelated to my firm. 3. KNIGHTS OF COLUMBUS - CHAPTER 1915 POSITION: President NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/03/2025 ADDRESS: 610 S Portland St., Bryan OH 43506, United States DESCRIPTION: Responsible for leading the local Chapter and directing committees. Charitable Organization associated with the local Parish - St. Patrick Catholic Church
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-30 |
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