SUPREME ALLIANCE LLC is an SEC-registered investment adviser (CRD 45348). Regulatory assets under management: $35.3M.
Compensation: % of AUM, Hourly, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Michael Washington Jones | FINOP / CEO / CCO; OWNER | — |
| Jerome Robert Corsi | VICE PRESIDENT-INSURANCE, COMPLIANCE PRINCIPAL | — |
| Roger Brent Husbands | COMPLIANCE PRINCIPAL | — |
| JONES MICHAEL WASHINGTON | FINOP; FINOP / CEO / CCO; OWNER | — |
| SMITH LOUIS ROLLIN II | CHIEF COMPLIANCE OFFICER | — |
| CORSI JEROME ROBERT | VICE PRESIDENT-INSURANCE; VICE PRESIDENT-INSURANCE, COMPLIANCE PRINCIPAL | — |
| AGUILAR ELOYD GENE SR | VICE PRESIDENT, INVESTMENT ADVISOR | — |
| HUSBANDS ROGER BRENT | COMPLIANCE PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-10-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES (WSPS) REASONABLY DESIGNED TO SUPERVISE RECOMMENDATIONS OF DEFERRED VARIABLE ANNUITY PURCHASES… | Final | $80K |
| 2024-11-20 | regulatory | FAILURE TO DISCLOSE FINRA ADMINISTRATIVE PROCEEDING ON 2021 NORTH CAROLINA LICENSE APPLICATION. | Final | $250 |
| 2020-12-18 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO DEVELOP AND IMPLEMENT A WRITTEN IDENTITY THEFT PREVENTION PROGRAM (PROGRAM) REASONABLY DESIGNED TO DETECT, PREVENT, AND MITIGATE IDENTITY THEFT IN CONNECTION WITH OPENING OR… | Final | $65K |