Check the background of this financial professional on FINRA's BrokerCheck.

Our Compliance team, led by Timothy Maurer, engages advisors with knowledge and experience to make reasonable judgments that mitigates risk, but allows practices to thrive.  Our supervisory and hands-on field knowledge is a key component of the value we bring to advisors when  implementing new standards combined with keen business acumen. 


LATEST  UPDATES

Worth A Look:    FINRA Industry Comments on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public 







Topics Previously Covered During Compliance Updates Portion of Third Thursday Webinar:

  • FINRA 2111
  • Social Media Compliance
  • Email Communication 
  • Trade Blotter
  • Transaction Review


    For more information regarding previous Compliance Update Topics, or to register for our next Third Thursday Webinar, please email rita@affiliatedadvisors.com


 

SOCIAL MEDIA DISCLOSURE

Investments in securities involve risk, including the potential loss of principal. Past performance is not a guarantee of future results.

Neither the information nor any opinion expressed herein constitutes a solicitation for the purchase or sale of any securities, and should not be relied on as financial advice. Securities related services may not be available in all states. Please visit our website or contact our offices for details.

We do not provide customer service, handle any specific customer account inquiries, or enable financial transactions through any social media site. Should any client have questions or concerns that are specific to their account(s), please contact our office directly.

The site may contain links to information contained on a third party website. We do not endorse or accept responsibility for the content of any third party web site, and are not affiliated with any social media website. We do not expressly or implicitly adopt or endorse any of the expressions, opinions or content posted by third parties on social media sites. “Likes”, “Favorites” and comments should not be considered a reflection of client experiences or future performance. “Likes” and “Retweets” should not be considered an endorsement or recommendation of any security, company or individual.

It is up to you to read and understand the privacy policies for each social media site. We have no control over how social media sites or other third parties will use the information you share. 

 

Royal Alliance:

 

http://royalalliance.com/disclosures/socialmedia

 
Tell A Friend Tell A Friend


 
 
 Securities offered through Royal Alliance Associates, Inc., member FINRA/SIPC. Advisory services offered through Affiliated Advisors, Inc. Insurance offered through Rita Robbins & Associates, Inc. Entities listed are not affiliated.


This communication is strictly intended for individuals residing in the state(s) of AL, AK, AZ, AR, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI and WY. No offers may be made or accepted from any resident outside the specific states referenced.
 


Check the background of this financial professional on FINRA's BrokerCheck.