John W. Benn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John William Benn, who also goes by John W Benn, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 13 firms and has passed the Series 63, SIE, Series 6, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2015 - January 12, 2017
SUPREME ALLIANCE LLC
August 12, 2011 - December 11, 2014
PEAK BROKERAGE SERVICES, LLC
August 30, 2010 - August 15, 2011
CAPE SECURITIES INC.
June 20, 2006 - September 8, 2010
INSTITUTIONAL SECURITIES CORPORATION
October 1, 2003 - June 28, 2006
TOWER SQUARE SECURITIES, INC.
July 12, 2002 - September 30, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 22, 2001 - August 5, 2002
UNITED SECURITIES ALLIANCE, INC.
February 16, 2000 - August 15, 2001
VOYA FINANCIAL ADVISORS, INC.
June 6, 1994 - January 31, 2000
WMA SECURITIES, INC.
August 31, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 14, 1986 - October 28, 1986
PERPETUAL INVESTMENT ASSOCIATES
November 20, 1985 - March 10, 1986
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 28, 1983 - June 14, 1985
AEGON USA SECURITIES INC.
Primary Firm SEC Registration
SUPREME ALLIANCE LLC
CRD#: 45348 / SEC#: 801-108980, 8-51046
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 7/16/1975
Non-Member General Securities ExaminationCurrent Firm
SUPREME ALLIANCE LLC
CRD#: 45348 / SEC#: 801-108980, 8-51046
Contact information
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.
