BT
Barry A. Tripp
SUPREME ALLIANCE LLC
Georgetown, TX
Some features on this profile are disabled
CRD#: 1099362
BT
Professional summary
Barry Alan Tripp is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Georgetown, Texas.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Barry has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 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.
Freedom Equity Group (FEG); no investments, other than the Fixed Indexed Life & Annuity products offered by the insurance companies it is a marketing organization for; 152 W Branch St Suite A, Arroyo Grande, CA 93420; Independent Marketing Organization for several major life & annuity insurance companies; licensed agent; Executive National VP (besides personal production, responsible for recruiting, training and developing new agents toward building their businesses); started in 2013; 100 hrs/mo during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Barry Alan Tripp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barry Alan Tripp'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
March 9, 2017 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Georgetown, TX
Current
March 9, 2017 - Present
SUPREME ALLIANCE LLC
Office #1: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
December 12, 2011 - March 6, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GEORGETOWN, TX
Past
December 12, 2011 - March 6, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GEORGETOWN, TX
Past
January 2, 1997 - December 12, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CEDAR PARK, TX
Past
January 2, 1997 - December 12, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CEDAR PARK, TX
Past
January 4, 1993 - December 31, 1996
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
February 24, 1983 - December 31, 1992
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Texas(3/9/2017)
IAR
Texas(3/9/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
