SW
Sang P. Walker
SUPREME ALLIANCE LLC
Decatur, TX
Some features on this profile are disabled
CRD#: 4415858
SW
Professional summary
Sang Pham Walker, who also goes by Sang Ngoc-thi Pham, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Decatur, Texas.
Sang is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Sang has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sang Ngoc-Thi Pham
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.
Sivells Bend ISD, Not investment-related, 1053 CR 403, teacher, started 1/17/2023, 40 hrs/mo during trading hours, teacher of special ed. Nuti-IQ Menu Information - Owner - 07/28/2025 - 173 Kristina Blvd, Decatur TX 76234 - 2hrs/mo - 2hrs/mo during Business Hrs - No Business Related - Provide tools, services, or systems that help schools manage detailed information about their menus. - Deposit Checks - Fees
CRS (Client Relationship Summary) - RIA
Click below to view Sang Pham Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sang Pham Walker'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 26, 2020 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Decatur, TX
Current
March 26, 2020 - Present
SUPREME ALLIANCE LLC
Office #1: 14804 Resolves Lane, Charlotte, NC 28277RIA
BD
CRD#: 45348
Charlotte, NC
Past
November 25, 2014 - December 31, 2019
EQUITY SERVICES, INC.
RIA
CRD#: 265
DECATUR, TX
Past
November 25, 2014 - December 31, 2019
EQUITY SERVICES, INC.
BD
CRD#: 265
DECATUR, TX
Past
October 1, 2012 - November 24, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WICHITA FALLS, TX
Past
October 1, 2012 - November 24, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WICHITA FALLS, TX
Past
April 5, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WICHITA FALLS, TX
Past
April 5, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WICHITA FALLS, TX
Past
July 12, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
DALLAS, TX
Past
July 12, 2004 - March 24, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DALLAS, TX
Past
June 21, 2004 - March 24, 2011
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DALLAS, TX
Past
April 23, 2003 - October 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RICHARDSON, TX
Past
April 23, 2003 - October 21, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 23, 2003 - October 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 11, 2002 - March 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RICHARDSON, TX
Past
February 1, 2002 - March 3, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 1, 2002 - March 3, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(3/22/2023)
RR
Mississippi(5/26/2020)
RR
Texas(3/26/2020)
IAR
Texas(3/26/2020)
Exams
State Security Law 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.
