Consumer & Compliance Disclosures

  
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101 S. Hanley, Suite 1350, St. Louis, MO 63105-3406 
 Telephone: 314-726-0600     FAX: 314-726-0165     Email: info@plazaadvisors.com

 
The financial advisors of Plaza Financial Advisors, Inc. are Registered Representatives of, and offer securities products & services through Royal Alliance Associates, Inc. Member FINRA/SIPC (www.finra.org), 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.

Please read our consumer and regulatory disclosure below.

 

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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.

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