Joseph A. Fresquez
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.
Joseph Anthony Fresquez, who also goes by Joe Fresquez, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
December 2, 2020 - April 9, 2021
SUPREME ALLIANCE LLC
April 28, 2011 - December 31, 2018
ALLSTATE FINANCIAL SERVICES, LLC
July 29, 2008 - October 15, 2010
NEXT FINANCIAL GROUP, INC.
November 15, 2004 - October 15, 2010
NEXT FINANCIAL GROUP, INC.
April 7, 2003 - November 15, 2004
INVESTMENT PROFESSIONALS, INC.
April 7, 2003 - November 15, 2004
INVESTMENT PROFESSIONALS, INC.
December 16, 1999 - April 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1998 - December 13, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 4, 1993 - January 1, 1998
NATIONSSECURITIES
January 1, 1993 - September 1, 1993
MURCHISON INVESTMENT BANKERS, INC.
September 19, 1990 - December 3, 1992
LEHMAN BROTHERS 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
