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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

SANG PHAM WALKER

Advisor at SUPREME ALLIANCE LLC

CHARLOTTE, NC | Decatur, TX

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Search this name across graphsid dfx:ria:c0594278-7d2e-ce34-0188-18da52b226fd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 11, 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: Mar 27, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 27, 2002
First registration: Apr 11, 2002
Dual registered: yes, broker-dealer
Other names: SANG NGOC-THI PHAM
IAPD individual key: 4415858

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	Mar 26, 2020	n/a	yes	CHARLOTTE, NC\|CHARLOTTE, NC\|Decatur, TX	Current employment
ESI FINANCIAL ADVISORS	Independent wealth	Nov 25, 2014	Dec 31, 2019	no	ADDISON, TX\|DECATUR, TX\|ADDISON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Nov 24, 2014	no	WICHITA FALLS, TX\|WICHITA FALLS, TX\|ABILENE, TX\|ABILENE, TX\|ABILENE, TX\|ABILENE, TX\|WICHITA FALLS, TX\|MURPHY, TX\|LEVELLAND, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 5, 2011	Oct 1, 2012	no	WICHITA FALLS, TX\|WYLIE, TX\|RICHARDSON, TX\|MURPHY, TX\|GARLAND, TX\|GARLAND, TX	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 21, 2004	Mar 24, 2011	no	DALLAS, TX\|DALLAS, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 23, 2003	Oct 21, 2003	no	RICHARDSON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 11, 2002	Mar 3, 2003	no	RICHARDSON, TX	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
ESI FINANCIAL ADVISORS	SUPREME ALLIANCE LLC	Dec 31, 2019	Mar 26, 2020	86	Firm change	Ibd to RIA
J.P. MORGAN SECURITIES LLC	ESI FINANCIAL ADVISORS	Nov 24, 2014	Nov 25, 2014	1	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
MSI FINANCIAL SERVICES, INC.	CHASE INVESTMENT SERVICES CORP.	Mar 24, 2011	Apr 5, 2011	12	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Oct 21, 2003	Jun 21, 2004	244	Firm change	Other

Relationships

Registered with (6)

→ SUPREME ALLIANCE LLCRegistered adviserregistration: current employment
Mar 26, 2020 to presentfactForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Nov 25, 2014 to Dec 31, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 24, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 5, 2011 to Oct 1, 2012factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 21, 2004 to Mar 24, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 23, 2003 to Oct 21, 2003factForm ADV

Dated events

No dated event names this entity yet.