Deborah L. Pruitt
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.
Deborah Lawayne Pruitt, who also goes by Deborah L Pruitt, Deborah Lajuan Pruitt, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1991. Deborah had worked at 11 firms and has passed the Series 63, SIE, 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
September 24, 2014 - November 3, 2014
SUPREME ALLIANCE LLC
April 22, 2006 - November 1, 2012
TD AMERITRADE, INC.
October 6, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
April 6, 2005 - October 11, 2005
AMERIPRISE ADVISOR SERVICES, INC.
March 27, 2003 - December 31, 2003
INVESTIN SECURITIES CORP.
January 4, 2001 - April 3, 2001
HILLTOP SECURITIES INC.
May 4, 2000 - December 31, 2000
MYDISCOUNTBROKER.COM
October 3, 1995 - October 6, 1999
FIDELITY BROKERAGE SERVICES LLC
June 29, 1993 - February 13, 1995
CUNA BROKERAGE SERVICES, INC.
February 4, 1992 - April 23, 1993
AVANTAX INVESTMENT SERVICES, INC.
February 11, 1991 - October 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
