JM
James E. Moniz
SUPREME ALLIANCE LLC
Plymouth, MA
Some features on this profile are disabled
CRD#: 852438
JM
Professional summary
James Edmond Moniz, who also goes by James E Mcgowanmoniz, James Edmond Mcgowanmoniz, is a registered financial advisor currently at SUPREME ALLIANCE LLC located in Plymouth, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. James has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Mcgowanmoniz | James Edmond Mcgowanmoniz
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. DBA-NORTHEAST WEALTH MANAGEMENT. DBA CORE BUSINESS GROUP OUR SALES COACH, Braintree, Ma non-investment related, beginning 2015, hours as needed Insurance Brokerage, Norwell, MA for fixed (non variable) insurance products and insurance 2. SAMANDERINLEA LLC - REAL PROPERTY AND SOC SIGNATOR - SINCE 8/8/2014 - beneficial interest. 3. Core Business Group 80 Washington Street Norwell, MA 781-356-2969 Duties: Compensation and Rewards Design Title: President Start Date: 2000 Hours: 10 Email Address: jjmoniz@corebusinessgroup.com Website: www.corebusinessgroup.com 4. Tax Preparation 80 Washington Street Norwell, MA 781-356-2969 Duties: Tax Preparation Title: President Start Date: 2000 Hours: 1-2 Email Address: jmoniz@corebusinessgroup.com Website: www.corebusinessgroup.com 5. My Sales Coach 80 Washington Street Norwell, MA 781-356-2969 Duties: Chief Growth Officer Title: Sales Coach Start Date: 6/2015 Hours: 10 Email Address: jmoniz@corebusinessgroup.com Website: www.corebusinessgroup.com 6. Author 80 Washington Street Norwell, MA 781-356-2969 Duties: Writing Blogs/Book Title: Grow Dammit! Start Date: 2000 Hours: 1-2 Email Address: jmoniz@corebusinessgroup.com Website: www.corebusinessgroup.com 7. Keynote Speaker, Presenter, Lecturer 80 Washington Street Norwell, MA Duties: Estate Planning Lectures and Business Development Lectures Hours: 5 8. Trustee Rolling Mill Condo Association 91 Newfield St Title: Trustee Start Date: 1-1-2022 Total Monthly Hours: 3 Total Monthly Hours during Business Hours: 1 Nature of Business: Condo Association Business Related: no Compensation: none Duties: Approve contracts and requests from owners Private Security Transaction? No
CRS (Client Relationship Summary) - RIA
Click below to view James Edmond Moniz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edmond Moniz'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
April 6, 2020 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Plymouth, MA
Current
November 18, 2019 - Present
SUPREME ALLIANCE LLC
RIA
BD
CRD#: 45348
Plymouth, MA
Past
December 2, 2015 - November 21, 2016
GLOBAL INVESTMENT ADVISORS, LLC
RIA
CRD#: 121442
NORWELL, MA
Past
September 11, 2015 - November 21, 2016
ESSEX SECURITIES LLC
BD
CRD#: 46605
Norwell, MA
Past
October 4, 2007 - December 31, 2009
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BRAINTREE, MA
Past
May 23, 1978 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 23, 1978 - November 7, 2013
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BRAINTREE, 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
Massachusetts(4/6/2020)
IAR
Massachusetts(4/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/8/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/15/1978
Registered Representative ExaminationSRO 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.
