Articles Tagged with Royal Fund Management

Ricky FlattPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 29, 2019 indicate that former Michigan-based Royal Fund Management adviser Ricky Flatt, who has been named in an investigation by state regulatory authorities, recently resigned from his former employer and is currently not affiliated with any broker-dealer or advisory firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wallace (CRD# 2473357).

Ricky Flatt has spent more than 18 years in the securities industry and was most recently registered as an investment adviser with Royal Fund Management in Troy, Michigan (2014-2019). Previous registrations include Invest Financial Corporation in Troy, Michigan (2009-2012); Royal Alliance Associates in Troy, Michigan (1997-2009); and Mariner Financial Services in Largo, Florida (1994-1997). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 24, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1994; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 5, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, was recently named in a regulatory investigation, and resigned from his former employer in connection to alleged rule violations.