Full text of ROYAL ALLIANCE ASSOCIATES, INC.'s X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | ONLUTED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB Number: | OMB APPROVAL<br>3235-0123<br>Expires: October 31, 2023 | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------|-----------------------|--------------------------|---------------------------------------------------------| | | ANNUAL AUDITED REPORT<br>FORM X-17A-5<br>PART III | | Estimated average burden | hours per response 12.00<br>SEC FILE NUMBER<br>8-40218 | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | FACING PAGE<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | AND ENDING 12/31/2020 | | | | | 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 Plance, Suite 1410 | | | | | | | (No. and Street) | | | | | Jersey City<br>(City) | New Jersey<br>(State) | | 07302<br>(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. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Deloitte & Touche LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 2901 N. Central Ave Suite 1200 | Phoenix | AZ | | 85012 | | (Address) | (City) | (State) | | (Zip Code) | | CHECK ONE:<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | FOR OFFICIAL USE ONLY | | | | {1}------------------------------------------------ | T David Schmidt | , swear (or affirm) that, to the best of | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown