TA
TA

Thomas Joseph Alley

34 Years of Experience
BrokerSells Insurance
Areas of Practice
Retirement PlanningTax PlanningEstate PlanningEducation PlanningInsurance PlanningInvestment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
16 advisors
Number of Clients
78 clients
Average Client Portfolio
$234K average
Assets Under Management
$18.3M

Fee Structure

Minimum Investment:$25K
Loading...

Location

Charlotte, NC

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Thomas is the owner and president of an insurance and investment brokerage since 1996. He dedicates about 10-20% of his time to fixed insurance and annuity product sales and service.

Employment History
Current Registrations
Supreme Alliance LLC
September 2024 - Present · 1 yr 5 mos
Supreme Alliance LLC
August 2024 - Present · 1 yr 6 mos
Supreme Alliance LLCBroker
August 2024 - Present · 1 yr 6 mos
Previous Registrations
Brookstone Wealth Advisors, LLC
April 2023 - May 2024 · 1 yr 1 mo
Aag Capital, INCBroker
April 2023 - February 2024 · 10 mos
Talon Private Wealth, LLC
March 2023 - May 2024 · 1 yr 2 mos
LPL Financial LLC
November 2017 - March 2023 · 5 yrs 4 mos
LPL Financial LLCBroker
November 2017 - March 2023 · 5 yrs 4 mos
National Planning Corporation ("npc of America" in Fl & Ny)
February 2009 - November 2017 · 8 yrs 9 mos
National Planning CorporationBroker
February 2009 - November 2017 · 8 yrs 9 mos
Sagepoint Financial, INC.Broker
October 2008 - February 2009 · 4 mos
Sagepoint Financial, INC.
October 2008 - February 2009 · 4 mos
American General Securities Incorporated
February 2003 - October 2008 · 5 yrs 8 mos
American General Securities IncorporatedBroker
October 2002 - October 2008 · 6 yrs
American General Securities, Incorporated
November 2000 - February 2003 · 2 yrs 3 mos
Franklin Financial Services CorporationBroker
May 1996 - October 2002 · 6 yrs 5 mos
Guardian Investor Services CorporationBroker
June 1994 - October 1996 · 2 yrs 4 mos
New England SecuritiesBroker
January 1993 - June 1994 · 1 yr 5 mos
Northwestern Mutual Investment Services, INC.Broker
September 1989 - January 1992 · 2 yrs 4 mos
State Registrations1 state
OK
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Thomas Joseph Alley - Financial Advisor | TrueAdvisor