James Moniz
James Moniz is a ChFC-designated registered investment advisor at Supreme Alliance LLC, based in Charlotte, NC, with 43 years of industry experience. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 78 clients with $18M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SALLC offers managed account programs where clients pay a single fee for portfolio management services. The fees are calculated quarterly. SALLC representatives customize investment portfolios based on the client's risk tolerance and investment objectives. SALLC has full discretion over client accounts, but clients can limit this authority in writing. The minimum initial investment is $25,000.
Location
14804 Resolves Lane, Charlotte, NC, 28277
Get directionsHistory
Regulatory History (11)
Regulatory
April 2020Customer Dispute
May 2017Regulatory
December 2015Customer Dispute
January 2015Customer Dispute
December 2014Customer Dispute
October 2014Customer Dispute
July 2014Regulatory
June 2014Customer Dispute
September 2013Customer Dispute
January 2010Customer Dispute
September 2006Other Business ActivitiesSells Insurance
James operates under the DBAs Northeast Wealth Management and Core Business Group, working as a sales coach. He also has a beneficial interest in Samanderinlea LLC, is president of Core Business Group, provides tax preparation services, is Chief Growth Officer at My Sales Coach, is an author, a speaker, and a trustee for Rolling Mill Condo Association. James also works as an insurance broker for fixed insurance products.
Employment History
Current Registrations
Supreme Alliance LLC
Supreme Alliance LLCBroker
Previous Registrations
Global Investment Advisors, LLC
Essex Securities LLCBroker
Signator Investors, INC.
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.