ROYAL FUND MANAGEMENT, LLC ⚠ Disclosure events ACTIVE IA

FINRA firm 144434 · LADY LAKE, FL · view on BrokerCheck ↗
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID
144434
Firm name
ROYAL FUND MANAGEMENT, LLC
Other names / DBAs
401(K) MANEUVER; YI WEALTH MANAGEMENT; WOERNLE WEALTH MANAGEMENT, LLC; WEALTH HARMONICS; WAYFINDER WEALTH MANAGEMENT; WAGNER INVESTMENT & RETIREMENT ADVISORS; VALLEY ASSET MANAGERS LLC; TRU FINANCIAL STRATEGIES; TRIPLETT WEALTH MANAGEMENT; TRANSPARENT FINANCIAL GROUP; TRANSITIONS FINANCIAL LLC; THE SORENSEN ADVISORY GROUP, LLC; STRATEGIC FINANCIAL GROUP; STILL WATERS FINANCIAL GROUP LLC; STANDARD CAPITAL FINANCIAL; SPROUSE INVESTMENTS LLC; SOUTHWEST RETIREMENT & WEALTH MANAGEMENT; SOLUTIONS ADVISORY SERVICES, LLC; SOLID WEALTH ADVISORS, LLC; SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC; SCHLOSSER INSURANCE SERVICES LLC; SAGE RETIREMENT SERVICES, LLC; ROYAL FUND MANAGEMENT, LLC; ROYAL FUND MANAGEMENT; RIDGEBROOKE INVESTMENT PLANNING; RETIREMENT INCOME SPECIALISTS; PRIME FINANCIAL ADVISORS; PLANNING ASSOCIATES OF THE SOUTHERN TIER; PELTZ FINANCIAL SERVICES; PATRICK LYNCH FINANCIAL; NORTHSHORE PLANNING GROUP; NORTHPOINT FINANCIAL, LLC; NORRIS FINANCIAL SOLUTIONS; NEXUS FINANCIAL GROUP; NEW LIFE FINANCIAL SOLUTIONS, LLC; NEW LIFE FINANCIAL PLANNING, LLC; MCRAE INVESTMENT ADVISORY; LONG FINANCIAL; LINK RETIREMENT & FINANCIAL SERVICES; LINK FINANCIAL LLC; LIFEPLAN PARTNERS, LLC; LIFE & LEGACY ADVISORS, LLC; LEGACY RETIREMENT SERVICES, INC.; JUDY CARLSON FINANCIAL GROUP; JO-ANN HOLST ADVISERS, INC; JO-ANN HOLST ADVISERS; JH ADVISERS; JD UNDERWOOD FINANCIAL; J.D. UNDERWOOD WEALTH MANAGEMENT, INC.; IOWA WEALTH ADVISORS; INTEGRITY WEALTH MANAGEMENT SOLUTIONS; INTEGRITY INVESTMENT AND RISK MANAGEMENT; HOWELL WEALTH CONSULTANTS LLC; HAWKS FINANCIAL, LLC; HARBOUR FINANCIAL GROUP, INC.; GOVERNMENT PERSONNEL ADVISORY GROUP, LLC; GATEKEEPER INVESTMENT ADVISERS; FREDRICK ADVISORS; FREDERICK FINANCIAL GROUP; FRACTAL PROFILE WEALTH MANAGEMENT; FINGERFINANCIAL; FINANCIAL VISION & INVESTMENT SERVICES, INC.; FINANCIAL STRATEGIES, INC.; FINANCIAL ADVISORS OF THE ROCKIES, INC.; FAMILY FINANCIAL RETIREMENT SYSTEMS LLC; EDWARDS INVESTMENTS LLC; DARLING WEATLH MANAGEMENT, LLC; CORNERSTONE FINANCIAL RESOURCES, LLC; COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC; CLEARPOINT FINANCIAL GROUP; CAMINO ADVISORY; BUDNICK WEALTH MANAGEMENT; BRIZENDINE ADVISOR SERVICES, LLC; BRIDGE WEALTH STRATEGIES; BLACKSTON FINANCIAL ADVISORY GROUP; BENTLEY FINANCIAL; AR WEALTH MANAGEMENT; AMERICAN ELITE RETIREMENT LLC; AMERICA DIRECT, LLC; ALTMEYER FINANCIAL INVESTMENTS, LLC; ADVANCED FINANCIAL STRATEGIES; ADAGE FINANICAL CONSULTANTS, INC.
IA scope
ACTIVE
SEC IA file
801-77918
Branches
94
Disclosure events
YES
HQ
LADY LAKE, FL, 32159, United States

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