Full text of ROYAL ALLIANCE ASSOCIATES, INC.'s X-17A-5 filed 2020-02-28 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill 0MB APPROVAL OMBNumber: 3235-0123 Expires: August 31 , 2020 Estimated average burden hours per response ... ... 12.00 | SEC FILE NUMBER | |-----------------| | 8-40218 | ## **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 01/01/2019 | | -----------<br>AND ENDING 12/31/2019 | | | |---------------------------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Royal Alliance Associates, Inc. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 10 Exchange Place, Suite 141 0 | | | | | | | (No and Street) | | | | | Jersey City | NJ | | 07302 | | | (City ) | (State ) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>David Schmidt (602) 262-3301 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNT ANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Deloitte & T ouche LLP | | | | | | | (Name - if individual, slate last, firsr. middle name) | | | | | 2901 N. Central Ave Suite 1200 Phoenix | | AZ | 85012 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I/'<br>!certified Public Accountant | | | | | | Public Accountant | | | | | | a<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | *\*Claims f or exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis f or the exemption. See Section 240. l 7a-5(e)(2)* > **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (06-02) {1}------------------------------------------------ ##…Read the full text as markdown