CL
Cathie A. Leonard
SUPREME ALLIANCE LLC
Plymouth, MA
Some features on this profile are disabled
CRD#: 6649544
CL
Professional summary
Cathie A Leonard Ms, who also goes by Cathie Latham, Cathie A Leonard, Cathie Leonard Psyd, Kate Leonard Psyd, Kate Leonard, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Plymouth, Massachusetts.
Cathie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Cathie has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO, Series 6 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cathie Latham | Cathie A Leonard | Cathie Leonard Psyd | Kate Leonard Psyd | Kate Leonard
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.) self employed clinical psychologist. 185 Lincoln st, Hingham, MA 02043, non investment related 20 hrs week. insurance / annuity sales with supreme alliance agency. 2.) Author, Norwell, MA, since 9/2022, 1 hr/month during business hours, writing articles, blogs and books, not business related, no compensation yet, no private securities 3.) Core Business Group, Norwell, MA, Advisor, 1 hr/month during business hours, business consulting/sales, compensated by fees, no private security transactions 4.) Keynote Speaker, Norwell, MA, since 9/2022, 1 hr/month during business hours, presentations to groups, business related, compensated by fees, no private security transactions 5.) Northeast Wealth Management; Norwell, MA; not investment related; nature of business-Business planning; position-producer/advisor; started 1/1/2000; 30 hours/month; 1 hour/month during trading hours; duties-consulting on employee retention and wellness. No private security transactions. 6.) SamandErinLea LLC, Norwell, MA, Owner, since 9/2022, 1 hr/month during business hours, own office condo, not business related, manage real estate, no compensation, no private security transactions.
CRS (Client Relationship Summary) - RIA
Click below to view Cathie A Leonard Ms's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cathie A Leonard Ms'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
September 11, 2023 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Plymouth, MA
Current
June 5, 2020 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Plymouth, MA
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(6/9/2020)
RR
Florida(6/9/2020)
RR
Massachusetts(6/5/2020)
IAR
Massachusetts(9/11/2023)
RR
New Hampshire(6/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 6/5/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
