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*James B. Rawlings, CFP is a Registered Representative of and offers securities through Royal Alliance Associates, Inc. Member FINRA/SIPC, a registered investment advisor. In this regard, this communication is strictly intended for individuals residing in the states of Utah,Arizona, Idaho, Missouri, Nevada,Oregon, Washington. No offers may be made or accepted from any resident outside the specific state(s) referenced. James  is also separately registered as an investment adviser representative of OakBridge Asset Management, LLC, a registered investment advisor, offering Advisory and Insurance services in the state of Utah, and Adivsory services only in Washington and Missouri. As such, these services are strictly intended for individuals residing in these states. Additional Advisory services offered through Royal Alliance Associates, Inc., a Registered Investment Advisor. OakBridge and Royal Alliance Associates, Inc., are not affiliated. 897 Baxter Dr.  South Jordan UT  84095    801.327.7222  IMPORTANT CONSUMER INFORMATION: A broker-dealer, investment adviser, BD agent, or IA rep may only transact business in a state if first registered, or is excluded or exempt from state broker-dealer, investment adviser, BD agent or IA rep registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirement, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator. 





 

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