RC
Robert S. Cupello
SUPREME ALLIANCE LLC
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 1036533
RC
Professional summary
Robert Settimio Cupello is a registered financial professional currently at SUPREME ALLIANCE LLC located in Charlotte, North Carolina.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Settimio Cupello'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: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
July 13, 2021 - July 26, 2021
INNOVATION PARTNERS LLC
BD
CRD#: 146344
CHARLOTTE, NC
Past
September 3, 2020 - June 3, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
PITTSFORD, NY
Past
July 17, 2020 - July 20, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PITTSFORD, NY
Past
November 1, 2013 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
PITTSFORD, NY
Past
September 16, 2011 - November 11, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
ROCHESTER, NY
Past
March 9, 2010 - September 16, 2011
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
December 23, 2008 - March 8, 2010
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Past
December 16, 2008 - December 22, 2008
ENSEMBLE FINANCIAL SERVICES, INC.
BD
CRD#: 17443
PITTSFORD, NY
Past
February 12, 2003 - December 10, 2008
PREFERRED HOLDING CORPORARTION
BD
CRD#: 45518
ROCHESTER, NY
Past
August 28, 1991 - January 31, 2003
BRENT CAPITAL CORP.
BD
CRD#: 18518
PITTSFORD, NY
Past
May 21, 1985 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
May 21, 1985 - May 2, 1994
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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.
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
Florida(6/1/2021)
RR
New York(5/19/2021)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
