Who is Royal Alliance and NFS

WHO IS ROYAL ALLIANCE 

 

Royal Alliance Associates, Inc. (“Royal Alliance”) is registered with the Securities and Exchange Commission (“SEC”) as both a securities broker-dealer and an investment adviser and is a member of the Financial Industry Regulatory Authority (“FINRA”).

 

Royal Alliance is part of Advisor Group, one of the largest networks of independent wealth management firms in the United States, with more than 11,000 affiliated financial professionals. 

 

We work closely with Royal Alliance, our broker-dealer, to be sure we are always acting in your best interest. 

 

Please refer to these valuable disclosures to learn more about Royal Alliance and their role in our relationship.  

 

 

WHO IS NFS (NATIONAL FINANCIAL SERVICES) 

 

Depending on the type of accounts you have with us you may notice the name National Financial Services, LLC (NFS) appearing at the bottom of your statements.   NFS, is wholly- owned by Fidelity Global Brokerage Group, Inc.   They provide valuable brokerage services to Royal Alliance including clearing and custody, trading support, and tax reporting, just to name a few.    

 

From time to time you may receive correspondence from both companies pertaining to your accounts and your privacy.