Entities listed are not affiliated
Royal Alliance is a part of Advisor Group, a nationally recognized conglomerate of broker dealers. They have a client centered philosophy that encourages long-term relationships. They provide regulatory compliance oversight, guidance, training and access to a full array of the most innovative investment products and money managers in the industry. Royal Alliance is a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency. (FINRA.)
Any financial advisor that conducts securities business must be affiliated with a Broker Dealer (BD). As discussed above, our BD is Royal Alliance Associates, Inc., member of Advisor Group. One of the Broker Dealer’s main tasks is to oversee their affiliate’s activities and this is accomplished by having financial advisors report to supervisors. The Office of Supervisory Jurisdiction (OSJ) that Enhance Wealth Advisors reports to is NWF Advisor Group, Inc. This OSJ group acts as FINRA principals responsible for supervising financial advisors of Enhance Wealth Advisors. NWF also provides business and back office support to Enhance Wealth Advisors.
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Pershing is well established in the financial services industry and one of the largest New York Stock Exchange Securities Clearing Firm. They are a part of the Bank of New York, which is the bank for the U.S. Treasury. Pershing provides us with access to securities listed on all major exchanges, including the New York Stock Exchange, the American Stock Exchange, most regional exchanges and the over the counter market. Pershing executes and clears all exchange and over the counter securities transactions as agent for, and on the instruction of Royal Alliance Associates, Inc. Pershing is the custodian for assets held in brokerage accounts through Royal Alliance.
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for securities firms doing business in the United States. FINRA touches every aspect of the securities business from registering and educating industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws. FINRA also administers the largest dispute resolution forum for investors and registered firms.