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The financial advisors of Plaza Financial Advisors, Inc. are Registered Representatives of, and offer securities products & services through Royal Alliance Associates, Inc. Member FINRA (www.finra.org) and SIPC, a registered broker-dealer. In this regard, this communication is strictly intended for individuals residing in the states of AL,AK,AZ,AR,CA,CO,CT,FL,GA,HI,ID,IL,IN,IA,KS,KY,MD,MA,MI,MN,MS,MO,NH,NJ,NM,NY,NV,NC,OH,OK,PA,SC,TN,TX,VA,WA,WI. No offers may be made or accepted from any resident outside the specific state(s) referenced.
The financial advisors of Plaza Financial Advisors, Inc. are also separately registered as investment advisor representatives under Plaza Financial Advisors, Inc., a Registered Investment Advisor registered with the Securities and Exchange Commission. As such, advisory services are strictly intended for individuals residing in the states where we have notice filed:AZ,CA,FL,IL,NE,TX,MO.
IMPORTANT CONSUMER INFORMATION:
A broker-dealer “BD”, investment adviser “IA”, a BD agent, or IA Representative may only transact business in a state if first registered in that state, or is excluded or exempt from registration in that state as a broker-dealer, investment adviser, BD agent or IA Representative, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either affecting or attempting to affect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion.
For information concerning the licensing status or disciplinary history of a broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.
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