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1716 N. Sanborn Blvd. Mitchell, SD 57301
Phone: (605) 996-7171 Toll Free (800) 658-3603 Fax: (605) 996-1781 Email: firstname.lastname@example.org
Thomas J. Dice, Jerauld Garry, Michael LeBrun, and Jacquelyn Johnson are Registered Representatives of and offers securities products and services through Royal Alliance Associates, Inc. Member FINRA / SIPC, a registered broker-dealer. In this regard, this communication is strictly intended for individuals residing in the states of Arizona (AZ), California (CA), Colorado (CO), Connecticut (CT), Florida (FL), Georgia (GA), Iowa (IA), Idaho (ID), Illinois, (IL), Indiana (IN), Kansas (KS), Minnesota (MN), Missouri (MO), Montana (MT), North Carolina (NC), North Dakota (ND), Nebraska (NE), New York (NY), Oklahoma (OK), Oregon (OR), South Dakota (SD), Texas (TX), Utah (UT), Virginia (VA), Washington (WA), Wisconsin (WI), Wyoming (WY). No offers may be made or accepted from any resident outside the specific states referenced.
Thomas J. Dice, Jerauld Garry, Michael LeBrun, and Jacquelyn Johnson are also separately registered as investment adviser representatives under Dice Financial Investment Advisory, a registered investment advisor, offering advisory services in the states of South Dakota (SD). As such, these services are strictly intended for individuals residing in South Dakota (SD).
*Securities offered through: Royal Alliance Associates, Inc. Member FINRA / SIPC. Thomas Dice also offers investment advisory services through Royal Alliance Associates, Inc., a registered investment advisor. Fixed and/or Traditional Insurance Services offered through Dice Financial Services Group. DFSG is not registered as a broker-dealer or investment advisor.
**Investment advisory services offered through Dice Financial Investment Advisory, a registered investment advisor. Listed entities are not affiliated.
Investment advice offered through Dice Financial Services Group, a registered investment advisor.
The broker-dealer, investment advisor, BD agent or IA rep in question may only transact business in a state if first registered, excluded or exempted from state broker-dealer, investment advisor, BD agent or IA rep registration requirements, as may be; and follow-up, individualized responses to persons in a state by such broker dealer, investment adviser, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, as may be, will not be made absent compliance with state broker-dealer, investment adviser, BD agent or IA rep registration requirements, or an applicable exemption or exclusion.
For information concerning the licensure status or disciplinary history of a broker/dealer, investment advisor, BD agent or IA representative, a consumer should contact his or her stated securities law administrator. For securities information a consumer may also contact the Financial Industry Regulatory Authority (FINRA) at the following toll free number: (800) 289-9999 or their web address www.finra.org.
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