MG
Michael R. Guerra
SUPREME ALLIANCE LLC
La Grange, CA
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CRD#: 3228734
MG
Professional summary
Michael Raymond Guerra, who also goes by Michael Raymond Guerra Sr, Michael Raymond Guerra, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in La Grange, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Raymond Guerra Sr | Michael Raymond Guerra
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.
1.) Tax and Mobility Solutions, Ind.; La Grange, CA; Founder, technology start-up related to mobile employees; Start date: 1/2017; not investment related; 20 hours per month; 10 hours per month during trading hours. 2.) CharliAi Inc., 555 Burrad St. Vancouver, BC Canada; Not investment related; Software related to content management utilizing AI; Consultant; Start date 05/2021; 30 hours per month devoted to business; 20 hours per month during trading hours. 3.)Colonial Life - District Manager - 03/03/2025 - 910 Campisi Wy, Suite 1F, Campbell, CA 95008 - 40hrs/mo - 40hrs/mo during Business Hrs - No Business Related - 9am - 5pm - Sales position - only commissions
CRS (Client Relationship Summary) - RIA
Click below to view Michael Raymond Guerra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Raymond Guerra'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
August 16, 2023 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
La Grange, CA
Current
August 16, 2023 - Present
SUPREME ALLIANCE LLC
Office #1: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
October 15, 2021 - May 2, 2023
NFSG CORPORATION
RIA
CRD#: 130814
LA GRANGE, CA
Past
October 15, 2021 - May 2, 2023
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
July 1, 2021 - September 17, 2021
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
August 14, 2019 - March 31, 2021
MORGAN STANLEY
RIA
CRD#: 149777
Pleasanton, CA
Past
July 5, 2019 - March 31, 2021
MORGAN STANLEY
BD
CRD#: 149777
Pleasanton, CA
Past
May 2, 2018 - June 19, 2019
MERIT SECURITIES, LLC
BD
CRD#: 165470
Redwood City, CA
Past
September 3, 2013 - February 1, 2018
RAINMAKER SECURITIES, LLC
BD
CRD#: 132995
CORAL GABLES, FL
Past
October 14, 2002 - August 29, 2013
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
July 7, 1999 - April 29, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(8/16/2023)
IAR
California(8/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
