Howard D. Kavinsky

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CRD#: 5881623

Professional summary

Howard Dennis Kavinsky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Howard is a previously registered financial professional and started their career in finance in 2011. Prior to being barred, Howard had worked at 8 firms, which includes SUPREME ALLIANCE LLC, B. RILEY WEALTH MANAGEMENT, B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, SANCTUARY ADVISORS LLC, SANCTUARY SECURITIES INC., MORGAN STANLEY, HORNOR TOWNSEND & KENT LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Howard Kavinsky

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. B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; INSURANCE PRODUCTS; INSURANCE AGENT; START DATE: 06/2019; 10 HRS/MONTH, DURING TRADING HOURS; SALES/SERVICE INSURANCE PRODUCTS... 2. JBT WEALTH MANAGEMENT; INVESTMENT-RELATED; 200 S. WACKER DR STE 700 CHICAGO IL 60606; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 12/7/2023; 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS.

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

September 16, 2024 - December 4, 2024

SUPREME ALLIANCE LLC

CRD#: 45348

CHARLOTTE, NC

Past

July 22, 2022 - June 13, 2024

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Chicago, IL

Past

August 7, 2019 - June 13, 2024

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

July 5, 2019 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

August 27, 2018 - July 10, 2019

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

INDIANAPOLIS, IN

Past

August 27, 2018 - July 10, 2019

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

April 15, 2015 - July 25, 2018

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

April 15, 2015 - July 25, 2018

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

October 17, 2014 - March 12, 2015

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CHICAGO, IL

Past

March 9, 2011 - March 12, 2015

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CHICAGO, IL

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 65

Date: 9/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/2/2015

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/8/2011

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

Howard D. Kavinsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

SANCTUARY ADVISORS, LLC

SANCTUARY SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

SUPREME ALLIANCE LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/2014

Series 63

Date: 4/7/2011

SIE

Date: 10/1/2018

Series 31

Date: 5/2/2015

Series 7

Date: 3/8/2011

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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