Alexander M. Supplee

UNITED CAPITAL FINANCIAL ADVISORS

BALTIMORE, MD

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CRD#: 6266621

Professional summary

Alexander Mark Supplee, who also goes by Alexander M Supplee, Alex Supplee, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Baltimore, Maryland.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Alexander has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander M Supplee | Alex Supplee

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) - RIA

Click below to view Alexander Mark Supplee's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 11, 2017 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #2: 729 E Pratt St Ste 560, Baltimore, MD 21202

RIA

CRD#: 134600

BALTIMORE, MD

Past

January 12, 2022 - March 5, 2024

GOLDMAN SACHS & CO. LLC

CRD#: 361

TIMONIUM, MD

Past

November 1, 2017 - June 30, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HUNT VALLEY, MD

Past

September 21, 2017 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

HUNT VALLEY, MD

Past

June 2, 2016 - September 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNT VALLEY, MD

Past

June 2, 2016 - September 13, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNT VALLEY, MD

Past

July 31, 2014 - May 10, 2016

MORGAN STANLEY

RIA

CRD#: 149777

BLUE BELL, PA

Past

May 29, 2014 - May 10, 2016

MORGAN STANLEY

CRD#: 149777

BLUE BELL, PA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(9/11/2017)

IAR

Texas
(2/7/2020)

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: 7/31/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/2014

General Securities Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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

Alexander M. Supplee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Mark Supplee's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2014

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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