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Royal Alliance Associates, Inc. Royal Alliance Associates, Inc. 
Royal Alliance is a part of Advisor Group, a nationally recognized broker dealer firm and one of the AIG Companies. They are an industry leader with 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 world class money managers in the industry. Royal Alliance is a member of the Securities Investor Protection Corp (SIPC) and the Financial Industry Regulatory Agency. (FINRA.)
NWF Advisory
NWF Advisory

www.nwfadvisory.com 
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 AIG 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 Enhance Wealth Advisors reports to is NWF Advisor Group, Inc. This OSJ group acts as FINRA principals responsible for supervising financial advisors of Enhance Wealth Advisors. NWF also provides business and back office support to Enhance Wealth Advisors.
Pershing
Pershing
www.pershing.com 
Pershing is a well established leader 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.
CFP® Board of Standards


CFP® Board of Standards

www.cfp.net 
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
www.fpanet.org 
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.


FINRA
www.finra.org 
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.


SIPC
 
www.sipc.org
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.

Social Security


Social Security
http://www.ssa.gov

Social Security is a federal income-security program that was established in 1935 as part of President Franklin Delano Roosevelt’s New Deal. As a “pay as you go” program, the payroll taxes paid by current workers are used to fund the benefits of current Social Security recipients. Although originally a program providing economic security to certain retirees, today’s Social Security has expanded to provide a certain level of retirement income to almost all workers, certain family members, and survivors, as well as disability benefits. Overall, about 55 million people receive some type of benefit from Social Security.

IRS - The Internal Revenue Service


IRS
 
http://www.irs.gov

The Internal Revenue Service (IRS) is the revenue service of the United States federal government. The government agency is a bureau of the Department of the Treasury, and is under the immediate direction of the Commissioner of Internal Revenue.

Franchise Tax Board


Franchise Tax Board
https://www.ftb.ca.gov

The California Franchise Tax Board (FTB) collects state personal income tax and corporate income tax of California. It is part of the California Government Operations Agency. The board is composed of the California State Controller, the director of the California Department of Finance, and the chair of the California Board of Equalization. The chief administrative official is the executive officer of the Franchise Tax Board.

Wall Street Journal 
http://online.wsj.com

The Wall Street Journal is a New York-based English-language international daily newspaper with a special emphasis on business and economic news. It is published six days a week by Dow Jones & Company, a division of News Corp, along with the Asian and European editions of the Journal.

Marin Community Foundation


Marin Community Foundation 
www.marincf.org

One of the largest community foundations in the country, Marin Community Foundation distributes charitable resources in two ways: by assisting more than 500 individuals, families and businesses in their grant making locally, nationally and internationally; and by directing Buck Trust resources to an array of nonprofits and schools in Marin County. We currently manage more than $1.6 billion in total assets and distribute more than $60 million annually in grants.

 

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  Securities and advisory services offered through Royal Alliance Associates, member FINRA/SIPC.  Additional advisory services offered through NWF Advisory Services, Inc. a registered investment adviser not affiliated with Royal Alliance Associates.  

Broadridge Investor Communication Solutions, Inc. does not provide investment, tax, or legal advice. The information presented here is not specific to any individual's personal circumstances.

To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax professional based on his or her individual circumstances.

These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable—we cannot assure the accuracy or completeness of these materials. The information in these materials may change at any time and without notice.

This communication is strictly intended for individuals residing in the state(s) of Alaska, Arizona, California, Hawaii, Minnesota, Nevada, NewYork, Oregon, Pennsylvania, South Carolina, Texas, Virginia. No offers may be made or accepted from any resident outside the specific states referenced. 

This communication is strictly intended for individuals residing in the state(s) of AK, AZ, CA, HI, MN, NV, NY, OR, PA, SC, TX and VA. No offers may be made or accepted from any resident outside the specific states referenced.
 


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