Steven M. Roffman
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.
Steven Michael Roffman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2020 - June 17, 2020
SUPREME ALLIANCE LLC
September 12, 2019 - December 20, 2019
CHELSEA FINANCIAL SERVICES
March 29, 2016 - September 13, 2019
IFS SECURITIES
March 27, 2015 - April 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 2013 - March 31, 2015
RAYMOND JAMES & ASSOCIATES, INC.
April 30, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
October 14, 2003 - July 29, 2008
NORTH COAST SECURITIES CORPORATION
April 3, 2001 - February 11, 2004
FIRST ALLIED SECURITIES, INC.
July 23, 1999 - March 27, 2001
A. G. EDWARDS & SONS, INC.
October 27, 1995 - July 22, 1999
PRUDENTIAL EQUITY GROUP, LLC
January 15, 1993 - October 18, 1995
MORGAN STANLEY DW INC.
November 19, 1990 - January 27, 1993
LEHMAN BROTHERS INC.
October 14, 1988 - November 20, 1990
WACHOVIA SECURITIES, INC.
May 21, 1987 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., 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
Current 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.
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