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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

WERNER MAIWALD

Advisor at SUPREME ALLIANCE LLC

Ludlow, MA | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7402f557-7465-b874-c587-d51a3de95bfe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SUPREME ALLIANCE LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 30, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 30, 1988
First registration: Mar 28, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1029465

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SUPREME ALLIANCE LLC	Independent wealth	May 19, 2021	n/a	yes	CHARLOTTE, NC\|CHARLOTTE, NC\|Ludlow, MA	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Nov 12, 2015	Sep 1, 2020	no	DANVERS, MA\|LUDLOW, MA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Mar 10, 2006	Nov 11, 2015	no	DANVERS, MA\|LYNNFIELD, MA\|WILBRAHAM, MA\|LUDLOW, MA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Mar 28, 2002	Apr 21, 2004	no	SPRINGFIELD, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VOYA FINANCIAL ADVISORS, INC.	SUPREME ALLIANCE LLC	Sep 1, 2020	May 19, 2021	260	Firm change	Ibd to RIA
INVESTORS CAPITAL ADVISORY	VOYA FINANCIAL ADVISORS, INC.	Nov 11, 2015	Nov 12, 2015	1	Firm change	Other
CETERA INVESTMENT SERVICES LLC	INVESTORS CAPITAL ADVISORY	Apr 21, 2004	Mar 10, 2006	688	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
30613:2882:MA:2015-11-10	Nov 11, 2015	Nov 12, 2015	LUDLOW, MA	Firm change

Relationships

Registered with (4)

→ SUPREME ALLIANCE LLCRegistered adviserregistration: current employment
May 19, 2021 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Nov 12, 2015 to Sep 1, 2020factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Mar 10, 2006 to Nov 11, 2015factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Mar 28, 2002 to Apr 21, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7402f557-7465-b874-c587-d51a3de95bfe
First observed: Mar 28, 2002
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WERNER MAIWALD

Advisor at SUPREME ALLIANCE LLC

Ludlow, MA | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7402f557-7465-b874-c587-d51a3de95bfe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SUPREME ALLIANCE LLC

Independent wealth

May 19, 2021

n/a

yes

CHARLOTTE, NC|CHARLOTTE, NC|Ludlow, MA

Current employment

VOYA FINANCIAL ADVISORS, INC.

Bd affiliated wealth

Nov 12, 2015

Sep 1, 2020

DANVERS, MA|LUDLOW, MA

Previous registration

INVESTORS CAPITAL ADVISORY

Former SEC adviser

Mar 10, 2006

Nov 11, 2015

DANVERS, MA|LYNNFIELD, MA|WILBRAHAM, MA|LUDLOW, MA

Previous registration

CETERA INVESTMENT SERVICES LLC

Former SEC adviser

Mar 28, 2002

Apr 21, 2004

SPRINGFIELD, MA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

VOYA FINANCIAL ADVISORS, INC.

SUPREME ALLIANCE LLC

Sep 1, 2020

May 19, 2021

260

Firm change

Ibd to RIA

INVESTORS CAPITAL ADVISORY

VOYA FINANCIAL ADVISORS, INC.

Nov 11, 2015

Nov 12, 2015

Firm change

Other

CETERA INVESTMENT SERVICES LLC

INVESTORS CAPITAL ADVISORY

Apr 21, 2004

Mar 10, 2006

688

Firm change after gap

Other

Team

Left

Joined

From

Kind

30613:2882:MA:2015-11-10

Nov 11, 2015

Nov 12, 2015

LUDLOW, MA

Firm change