Henry C. Smith
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.
Henry Clay Smith II, who also goes by Hank Smith, Henry Clay Smith, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1987. Henry had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1998 - July 24, 2021
SUPREME ALLIANCE LLC
August 25, 1993 - April 16, 1998
INTEGRATED FINANCIAL PLANNING SERVICES
February 25, 1992 - September 16, 1993
NALICO EQUITY CORPORATION
August 8, 1991 - November 21, 1991
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
July 15, 1988 - December 22, 1988
NALICO EQUITY CORPORATION
June 23, 1988 - July 9, 1988
ADVANTAGE CAPITAL CORPORATION
June 23, 1988 - January 31, 1990
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.
October 26, 1987 - March 1, 1988
ADVANTAGE CAPITAL CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional 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.
