Roger Brent Husbands
Professional Summary
Roger Brent Husbands is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Charlotte, North Carolina. Roger is registered as a RR (Registered Representative) and started their career in finance in 1977. Roger has worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 5, Series 7, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
BMS INTERNATIONAL INCORPORATED | THE RETIREMENT WIZ | THE DEUEL GROUP | SUPREME ALLIANCE LLC | STREVEY FINANCIAL SERVICES | ROBINSON FINANCIAL SERVICES | RENAISSANCE WEALTH PLANNING | NORTHEAST WEALTH MANAGEMENT | JONES, MICHAEL | HOMESTEAD FINANCIAL STRATEGIES LLC | GRACE FINANCIAL SERVICES | BRIAN C PARKER
Contact Information
Main Address
14804 Resolves Lane, Charlotte, NC 28277Mailing Address
2187 Ivy Crest Drive, Bellbrook, OH 45305Phone Number
(561) 460-2870Established
Delaware since 03/04/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
16SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
FINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
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
107AUM (Assets Under Management)
$35,314,242Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
BMS INTERNATIONAL INCORPORATED | THE RETIREMENT WIZ | THE DEUEL GROUP | SUPREME ALLIANCE LLC | STREVEY FINANCIAL SERVICES | ROBINSON FINANCIAL SERVICES | RENAISSANCE WEALTH PLANNING | NORTHEAST WEALTH MANAGEMENT | JONES, MICHAEL | HOMESTEAD FINANCIAL STRATEGIES LLC | GRACE FINANCIAL SERVICES | BRIAN C PARKER
State Registrations and Notice Filings
(9/23/2015)
(8/20/2019)
(1/21/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 5 — Interest Rate Options Examination
Passed Nov 1981Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2010About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Roger Brent Husbands's CRS (Customer Relationship Summary).
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