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December 4, 2016

Investment News - RIAs have been slow to prepare for the DOL fiduciary rule

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Disclosures:
Robert Karn, James Couzens and Jeffrey Couzens are Registered Representatives of and offer 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 AK, AZ, CA, CO, CT, DC, DE, FL, GA, IL, IN, KY, LA, ME, MD, MA, MI, MN, MT, NV, NH, NJ, NM, NY, NC, OH, PA, RI, SC, TX, VA, and WA. No offers may be made or accepted from any resident outside the specific states referenced. Representatives may not be registered to provide securities and advisory services in all states.
Robert Karn, Jeffrey Couzens and James Couzens are also separately registered as an investment adviser representative under Karn Couzens & Associates, Inc., a Registered Investment Adviser not affiliated with Royal Alliance Associates, Inc., offering advisory services in the states of CA, CT, DE, FL, MA, NC, NH, NJ, NY, SC, and TX. As such these services are strictly intended for individuals residing in these states.
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