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.)
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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 mission of the Certified Financial Planner™ Board of Standards is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning
The CFP Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP® certification
The Financial Planning Association® (FPA®) is the largest membership organization for CFP® professionals in the U.S. and also includes members who support the financial planning process. Working in alliance with academic leaders, legislative and regulatory bodies, financial services firms and consumer interest organizations, FPA helps connect all in our membership through a variety of unique and compelling ways. FPA members adhere to the highest standards of professional competence, ethical conduct and clear, complete disclosure to those they serve. FPA membership consists of CERTIFIED FINANCIAL PLANNERS™, educators, financial services professionals, students and more; FPA is compensation neutral and represents those from diverse backgrounds and business models. FPA’s unique network of nationwide chapters encourage professional development and networking on a local level.
The Financial Planning Association is headquartered in Denver, Colo. and is governed by a volunteer Board of Directors who are charged with helping the organization reach its strategic goals. FPA’s staff is dedicated to creating an unparalleled membership experience.
The Estate Planning Council of Diablo Valley is a non-profit corporation composed of professionals who are engaged in estate planning activities and who seek by their membership to further their education and to foster a better understanding among the various disciplines engaged in the estate and financial planning field.
The East Bay Estate Planning Council is a non-profit association of estate planning professionals in Alameda County. Council members are Accountants, Attorneys, Financial Service Providers, Trust Officers, Professional Fiduciaries and other fields associated with estate planning. The Council’s mission is to enhance its members’ knowledge and practice skills and to develop a better understanding among the various disciplines engaged in estate planning and related services. The East Bay Estate Planning Council is a member of the National Association of Estate Planning Councils.
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.
Securities Investor Protection CorporationIf your brokerage firm goes out of business and is a member of the Securities Investor Protection Corporation (SIPC), then your cash and securities held by the brokerage firm may be protected up to $500,000, including a $250,000 limit for cash. When a SIPC member becomes insolvent, SIPC will ask a court to appoint a trustee to supervise the firm’s liquidation and to process investors’ claims. SIPC covers most types of securities, such as stocks, bonds, and mutual funds. But SIPC does not protect you against losses caused by a decline in the market value of your securities. And it does not provide protection for investment contracts not registered with the SEC.
CREW East Bay was founded as a chapter of CREW Network in 2005 to focus on the unique and vibrant commercial real estate landscape of the East Bay region of the San Francisco Bay Area. Our mission is to enhance professional growth and business opportunities for women as influential leaders in the commercial real estate industry and to promote their success by providing resources, recognition and networking.
The East Bay Rental Housing Association (EBRHA) is a full-service nonprofit organization dedicated to promoting fair, safe and well-maintained residential rental housing that is compliant with local ordinances and state/federal laws. We offer our rental property owner and manager members city-specific and timely education, one-on-one property management advice, free rental forms, networking opportunities, and advocacy at the state and local level. EBRHA supports our members, neighbors and local businesses with community improvement and sustainability initiatives.