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RM

Randy E. Mitchell

Some features on this profile are disabled
CRD#: 2819781
RM

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.

Randy Eugene Mitchell was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1997. Randy had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 27, 2019 - October 31, 2022

SUPREME ALLIANCE LLC

BD
CRD#: 45348
CHARLOTTE, NC
Past

January 12, 2015 - December 31, 2019

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
Tucson, AZ
Past

June 4, 2014 - January 14, 2015

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
STATEN ISLAND, NY
Past

February 24, 2009 - September 9, 2011

SUNSTREET SECURITIES, LLC

BD
CRD#: 143211
AVONDALE, AZ
Past

March 10, 2006 - March 26, 2008

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
TUCSON, AZ
Past

October 7, 2002 - December 20, 2005

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

May 24, 2000 - September 5, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 24, 2000 - September 5, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 1, 1997 - April 27, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/23/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/30/1996
Investment Company Products/Variable Contracts Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SUPREME ALLIANCE LLC- FORM ADV2A AND PRIVACY POLICY (7/2/2025)

Direct owners and executive officers

NamePositionCRD#
INSURANCE DISTRIBUTION CONSULTING LLCOWNER
HUSBANDS, ROGER BRENTCOMPLIANCE PRINCIPAL845110
JONES, MICHAEL WASHINGTONFINOP / CEO / CCO

Regulatory assets under management

Total Number of Accounts77
AUM (Assets Under Management)$ 18,279,631

Disclosures

Regulatory Event5

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.

Company Information

SUPREME ALLIANCE LLC

CRD#: 45348

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