Dwain Carroll

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CRD#: 4446658

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.

Dwain Carroll was a registered financial professional .

Dwain is a previously registered financial professional and started their career in finance in 2001. Dwain had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

October 20, 2016 - January 12, 2017

SUPREME ALLIANCE LLC

CRD#: 45348

CHARLOTTE, NC

Past

May 29, 2007 - November 23, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HOLBROOK, NY

Past

May 29, 2007 - November 23, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HOLBROOK, NY

Past

October 12, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

HOLBROOK, NY

Past

October 12, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

HOLBROOK, NY

Past

January 3, 2005 - June 6, 2005

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

January 15, 2004 - October 7, 2005

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

BABLYLON, NY

Past

January 2, 2004 - January 3, 2005

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

November 15, 2002 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 19, 2001 - November 4, 2002

MORGAN STANLEY DW INC.

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".

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)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/14/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/16/2001

General Securities Representative Examination

Current Firm

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)

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

SEC notice filing (37 States and Territories)

FINRA licenses (45 States and Territories)

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

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

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.

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Advisor Monitoring

Firm Stability Insights

Dwain Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CAPITAL ONE INVESTMENT SERVICES LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SUPREME ALLIANCE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2001

SIE

Date: 1/12/2017

Series 31

Date: 12/14/2001

Series 7

Date: 11/16/2001

Current Firm

SUPREME ALLIANCE LLC

Contact information

SEC notice filing (37 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SUPREME ALLIANCE LLC

TRUST BUT VERIFY

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