MJ
Michael W. Jones
SUPREME ALLIANCE LLC
Charlotte, NC
Some features on this profile are disabled
CRD#: 3248874
MJ
Professional summary
Michael Washington Jones, who also goes by Mike Jones, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Charlotte, North Carolina.
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 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Jones
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 DISTRIBUTION CONSULTING.; ACTUARIAL CONSULTING TO INSURANCE MARKETING COMPANIES. APPROXIMATELY 5 TO 10 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Washington Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Washington Jones'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
March 28, 2013 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Charlotte, NC
Current
January 13, 2012 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Charlotte, NC
Past
January 25, 2008 - December 31, 2010
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
ENGLEWOOD, CO
Past
March 13, 2007 - April 9, 2010
OSAIC WEALTH, INC.
BD
CRD#: 23131
ENGLEWOOD, CO
Past
March 10, 2004 - November 28, 2007
INSIGNE CONSULTING, INC.
RIA
CRD#: 128082
CHARLOTTE, NC
Past
July 17, 2000 - March 10, 2004
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
CHARLOTTE, NC
Past
April 10, 2000 - December 21, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
July 19, 1999 - August 18, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
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(2/29/2012)
IAR
California(5/8/2017)
IAR
Colorado(2/23/2017)
RR
Connecticut(7/30/2021)
IAR
Connecticut(7/30/2021)
IAR
Idaho(8/17/2016)
IAR
Kansas(2/15/2017)
RR
Kentucky(6/11/2012)
IAR
Kentucky(11/13/2013)
RR
Massachusetts(11/8/2012)
IAR
Massachusetts(9/18/2018)
RR
Minnesota(7/30/2021)
IAR
Minnesota(4/24/2023)
RR
Missouri(1/27/2023)
RR
North Carolina(2/28/2012)
IAR
North Carolina(3/28/2013)
IAR
Ohio(8/4/2016)
RR
Puerto Rico(12/19/2022)
RR
Texas(5/18/2012)
IAR
Texas(5/5/2017)
RR
Utah(1/22/2014)
IAR
Utah(2/14/2017)
IAR
Washington(2/16/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
