WM
Werner Maiwald
SUPREME ALLIANCE LLC
Ludlow, MA 01056
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CRD#: 1029465
WM
Professional summary
Werner Maiwald is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Ludlow, Massachusetts.
Werner is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Werner has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Renaissance Wealth Planning, LLC; Ludlow, MA; Managing Director; since 1/1/2022; 35 hrs/mo during business hours; Investment portfolios; business related; Magage client investment accounts; compensated by fees; no private security transactions.
CRS (Client Relationship Summary) - RIA
Click below to view Werner Maiwald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Werner Maiwald's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2021 - Present
SUPREME ALLIANCE LLC
Office #1: 733 Chapin Street Suite 202, Ludlow, MA 01056RIA
BD
CRD#: 45348
Ludlow, MA
Current
April 2, 2021 - Present
SUPREME ALLIANCE LLC
Office #1: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
October 9, 2020 - January 13, 2021
OSAIC FS, INC.
BD
CRD#: 3870
GREENSBORO, NC
Past
November 12, 2015 - September 1, 2020
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LUDLOW, MA
Past
October 30, 2015 - September 1, 2020
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LUDLOW, MA
Past
March 10, 2006 - November 11, 2015
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
LUDLOW, MA
Past
March 7, 2006 - November 11, 2015
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LUDLOW, MA
Past
May 17, 2004 - March 7, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 28, 2002 - April 21, 2004
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
SPRINGFIELD, MA
Past
January 2, 2002 - April 21, 2004
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
April 20, 2000 - December 31, 2001
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
November 19, 1998 - April 11, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 7, 1995 - November 11, 1998
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
January 20, 1989 - July 26, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 20, 1989 - July 26, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 16, 1988 - October 5, 1988
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
February 9, 1982 - January 10, 1984
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
January 16, 1982 - January 10, 1984
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SUPREME ALLIANCE LLC
BMS INTERNATIONAL INCORPORATED | SUPREME ALLIANCE LLC | JONES, MICHAEL
CRD#: 45348 / SEC#: 801-108980, 8-51046
RIA
Registered Investment Advisory firm - SEC (1/23/2017 Approved)Idaho
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Kentucky
Registered Investment Advisory firm - SEC (3/22/2017 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Maryland
Registered Investment Advisory firm - SEC (3/30/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Texas
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(5/19/2021)
IAR
Massachusetts(5/19/2021)
RR
Oregon(10/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SUPREME ALLIANCE LLC
BMS INTERNATIONAL INCORPORATED | SUPREME ALLIANCE LLC | JONES, MICHAEL
CRD#: 45348 / SEC#: 801-108980, 8-51046
RIA
Registered Investment Advisory firm - SEC (1/23/2017 Approved)Idaho
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Kentucky
Registered Investment Advisory firm - SEC (3/22/2017 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Maryland
Registered Investment Advisory firm - SEC (3/30/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)Texas
Registered Investment Advisory firm - SEC (2/14/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
14804 Resolves Lane, Charlotte, NC 28277
Mailing Address
2187 Ivy Crest Drive, Bellbrook, OH 45305
Phone number
(561) 460-2870
Established
Delaware since 03/04/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (37 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSURANCE DISTRIBUTION CONSULTING LLC | OWNER | |
| HUSBANDS, ROGER BRENT | COMPLIANCE PRINCIPAL | 845110 |
| JONES, MICHAEL WASHINGTON | FINOP / CEO / CCO |
Regulatory assets under management
| Total Number of Accounts | 77 |
| AUM (Assets Under Management) | $ 18,279,631 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
