Full text of ROYAL ALLIANCE ASSOCIATES, INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | | Public | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|-----------------|--------------------------------------------|--| | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response:<br>12 | | | | | | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | 8-40218 | | | | | | PART III | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING 01/01/2021 | | | AND ENDING 12/31/2021 | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Royal Alliance Associates, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer __ Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>10 Exchange Place, Suite 1410 | | | _ Major security-based swap participant | | | | | | | (No. and Street) | | | | | | Jersey City | | | New Jersey | | 07302 | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | David Schmidt | | (602) 262-3301 | | | David. Schmidt@advisorgroup.com | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Deloitte & Touche LLP<br>2901 N. Central Ave, Suite 1200 Phoenix | | (Name - if individual, state last, first, and middle name) | | Arizona 85012 | | | | (Address) | | (City) | | (State) | (Zip Code) | | | October 20, 2003 | | | 34 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | Persons who are to respond to the collection of information contained in this form are no…Read the full text as markdown