TA
Thomas J. Alley
SUPREME ALLIANCE LLC
Tulsa, OK
Some features on this profile are disabled
CRD#: 1942297
TA
Professional summary
Thomas Joseph Alley, who also goes by Tom Alley, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Tulsa, Oklahoma.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Alley
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.
Insurance and Investment Brokerage - owner / president - 01/15/1996 - 3213 East 93rd St -Tulsa Ok - 20hrs/mo - 20hrs/mo during Business Hrs - Yes Business Related - Fixed insurance and Annuity fixed product - Insurance fixed product sales and service - Fees
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Alley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Alley'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
September 8, 2024 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Tulsa, OK
Current
August 29, 2024 - Present
SUPREME ALLIANCE LLC
Office #1: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
April 11, 2023 - May 20, 2024
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Tulsa, OK
Past
April 5, 2023 - February 22, 2024
AAG CAPITAL, INC
BD
CRD#: 188
WESLEY CHAPEL, FL
Past
March 15, 2023 - May 20, 2024
TALON PRIVATE WEALTH, LLC
RIA
CRD#: 298714
Tulsa, OK
Past
November 29, 2017 - March 15, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
TULSA, OK
Past
November 29, 2017 - March 15, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
TULSA, OK
Past
February 5, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
TULSA, OK
Past
February 5, 2009 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
TULSA, OK
Past
October 31, 2008 - February 5, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
TULSA, OK
Past
October 31, 2008 - February 5, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
TULSA, OK
Past
February 12, 2003 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
TULSA, OK
Past
October 1, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
TULSA, OK
Past
November 2, 2000 - February 10, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
TULSA, OK
Past
May 10, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
June 21, 1994 - October 3, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 14, 1993 - June 15, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 28, 1989 - January 16, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Oklahoma(9/8/2024)
IAR
Oklahoma(9/8/2024)
Exams
State Security Law Exam
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)
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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.
