Entities listed are not affiliated.
Royal Alliance Associates, Inc.
Royal Alliance is a part of Advisor Group, a nationally recognized conglomerate of broker dealers. They have a client centered philosophy that encourages long-term relationships. They provide regulatory compliance oversight, guidance, training and access to a full array of the most innovative investment products and money managers in the industry. Royal Alliance is a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency. (FINRA.)
Pershing is well established in the financial services industry and one of the largest New York Stock Exchange Securities Clearing Firm. They are a part of the Bank of New York, which is the bank for the U.S. Treasury. Pershing provides us with access to securities listed on all major exchanges, including the New York Stock Exchange, the American Stock Exchange, most regional exchanges and the over the counter market. Pershing executes and clears all exchange and over the counter securities transactions as agent for, and on the instruction of Royal Alliance Associates, Inc. Pershing is the custodian for assets held in brokerage accounts through Royal Alliance.
Any financial advisor that conducts securities business must be affiliated with a Broker Dealer (BD). As discussed above, our BD is Royal Alliance Associates, Inc., member of Advisor Group. One of the Broker Dealer’s main tasks is to oversee their affiliate’s activities and this is accomplished by having financial advisors report to supervisors. The Office of Supervisory Jurisdiction (OSJ) that Von Baron Wealth Management Advisors reports to is NWF Advisor Group, Inc. This OSJ group acts as FINRA principals responsible for supervising financial advisors of Von Baron Wealth Management Advisors. NWF also provides business and back office support to Von Baron Wealth Management Advisors.
CFP® Board of Standards
The mission of the Certified Financial Planner™ Board of Standards is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning
The CFP Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirements for CFP® certification
Financial Planning Association
The Financial Planning Association® (FPA®) is the largest membership organization for CFP® professionals in the U.S. and also includes members who support the financial planning process. Working in alliance with academic leaders, legislative and regulatory bodies, financial services firms and consumer interest organizations, FPA helps connect all in our membership through a variety of unique and compelling ways. FPA members adhere to the highest standards of professional competence, ethical conduct and clear, complete disclosure to those they serve. FPA membership consists of CERTIFIED FINANCIAL PLANNERS™, educators, financial services professionals, students and more; FPA is compensation neutral and represents those from diverse backgrounds and business models. FPA’s unique network of nationwide chapters encourage professional development and networking on a local level.
The Financial Planning Association is headquartered in Denver, Colo. and is governed by a volunteer Board of Directors who are charged with helping the organization reach its strategic goals. FPA’s staff is dedicated to creating an unparalleled membership experience.
The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for securities firms doing business in the United States. FINRA touches every aspect of the securities business from registering and educating industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws. FINRA also administers the largest dispute resolution forum for investors and registered firms.
Securities Investor Protection Corporation
If your brokerage firm goes out of business and is a member of the Securities Investor Protection Corporation (SIPC), then your cash and securities held by the brokerage firm may be protected up to $500,000, including a $250,000 limit for cash. When a SIPC member becomes insolvent, SIPC will ask a court to appoint a trustee to supervise the firm’s liquidation and to process investors’ claims. SIPC covers most types of securities, such as stocks, bonds, and mutual funds. But SIPC does not protect you against losses caused by a decline in the market value of your securities. And it does not provide protection for investment contracts not registered with the SEC.