Broker Check
Richard Sargeaunt

Has something happened to you lately that made you recognize your mortality or the need to be more serious about money: a death, an inheritance, a divorce, a health problem or a job change?

If it has, you might find it helpful to meet with a Financial Advisor who first wants to try to understand your goals, and then after that, together we can start to think about using money to help implement those goals.

When I started in this business, there was brokerage and commissions.1 Then the profession moved to advise - not products. My core value is a "third way" - designing long term, diversified approaches, with the financial planning and product assistance to help set you on your own path to financial success.2 This creates an ongoing collaborative relationship with personalized service, education, reassurance, and integrity.

Royal Alliance3 offers the size and stability the big players deliver combined with my own autonomy, so clients don't feel they are part of a behemoth. Client relationships start with an honest evaluation of your needs - not only now but for five or ten years down the road.

Let's get started.

  1. 1 Prior financial advisory experience includes employment with Morgan Stanley, JPMorgan and The Bank of New York.
  2. 2 Services offered include: Personal Retirement Plans (Rollovers, Transfers and IRAs) Mutual Funds, trusts, annuities, stocks, bonds, UITs, 529 Plans, Employer Sponsored Retirement Plans (Pensions Plans, Profit Sharing, 401(K), 403(b), and 457), life insurance and money market funds.
  3. 3 Headquartered in New York City, Royal Alliance is a leading independent broker-dealer, with more than 2,400 financial advisors who service more than $30 billion in account assets.
  4. 4 Currently hold the following registrations: General Securities (Series 7), Registered Investment Advisor (Series 66), Insurance Licenses: Life and Health Authorities and National Commodities/Futures (Series 31).

Securities offered through Royal Alliance Associates, Inc., member FINRA/SIPC. Advisory services offered through New Century Financial Group, LLC a registered investment advisor not affiliated with Royal Alliance Associates, Inc. Insurance services offered through American Financial by Richard Sargeaunt as a licensed agent independent of Royal Alliance Associates, Inc.