Securities and investment advisory services offered through Royal Alliance Associates, Inc., member FINRA/SIPC and a registered investment advisor.   Financial planning and additional investment advisory services offered through ARROW Investment Management, LLC , a registered investment advisor not affiliated with Royal Alliance Associates, Inc. ARROW Financial Solutions, PLC is not affiliated with Royal Alliance Associates, inc. nor registered as a broker-dealer or investment advisor.

 

This communication is strictly intended for individuals residing in the states of Arizona, California, Colorado, Florida, Georgia, Iowa, Illinois, Indiana, Kansas, Kentucky, Louisiana, Michigan, Minnesota, North Carolina, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Texas, Virginia and Wisconsin. No offers may be made or accepted from any resident outside the specific states referenced.

 

IMPORTANT CONSUMER INFORMATION:
A broker-dealer, investment adviser, BD agent, or IA rep may only transact business in a state if first registered, or is excluded or exempt from state broker-dealer, investment adviser, BD agent or IA rep registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirement, or an applicable exemption or exclusion.

For information concerning the licensing status or disciplinary history of broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.

 

www.FINRA.org        www.SIPC.corg