Alfonso J Cumplido

Current Employers

Employment History

• 09/2010 → 11/2018
  Jhfn Sii
  Warwick, RI
• 05/2008 → Present
  Alfonso Cumplido
  North Attleboro, MA
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Warwick, RI

Previous Registrations

• 2011-03-31 → 2018-11-02
  Signator Investors, Inc.
  Warwick, RI
  Newport, RI

Other Businesses

1. Insurance Broker: Life, Annuities, LTC, DI, 935 JEFFERSON BOULEVARD SUITE 2000 WARWICK, RI 02886, 5/23/2018, 5 hrs mo, 0 trading. 2. RI STATE INVESTMENT COMMISSION POSITION: Volunteer NATURE: The SIC is a 10-member volunteer body, chaired by the General Treasurer of RI, Treasurer Seth Magaziner. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2020 ADDRESS: 82 Smith Street, Suite 2000, Providence RI 02903, United States DESCRIPTION: The State Investment Commission (SIC) is established under Rhode Island General Law 35-10. The SIC oversees the assets of the pension system as well as non-pension related investments such as the General Fund. The SIC has a fiduciary duty to put first the interests of the members of the retirement system, and to pursue the best investment portfolio possible. 3. INSURANCE BROKER POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/11/2011 ADDRESS: 935 Jefferson Blvd, Suite 2000, Providence RI 02909, United States DESCRIPTION: Conduct due diligence on various carriers, illustrate and broker life insurancesolutions for individuals and small businesses. Work with companies such as John Hancock, CRUMP, National Life,Lincoln and others. 4. CFA SOCIETY PROVIDENCE BOARD MEMBER POSITION: Incoming Vice President NATURE: Unpaid Volunteer Position For Non-Profit Oraganization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: P.O. Box 41027, Providence RI 02940, United States DESCRIPTION: Participate in active discussions about CFA Society Providence operations and member value. Lead the financial literacy efforts for CFA Society Providence. 5. MILLENNIAL RHODE ISLAND POSITION: Board Member NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2023 ADDRESS: No Physical Address, Suite 2000, Providence RI 02909, United States DESCRIPTION: Millennial RI is a networking group of RI based millennial professionals.My role as a board member is to attend quarterly meetings and help provide ideas for programming. 6. PHYSICIAN FOCUSED FINANCE POSITION: investment team support NATURE: Simply a marketing name associated with one of the advisors the we support as part of her investment management team.Her niche target market is physicians and this marketing OBA name is simply for her to specifically target the market. The advisor is within our OSJWe contribute investment though leadership and content focused on physicians and split business generated under a split rep code. INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 04/23/2024 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: We contribute investment thought leadership and content focused on physicians and split business generated under a split rep code.We help research solutions that would appeal to physicians and help the lead advisor communicate that to her clients 7. ROYAL ONE FINANCIAL POSITION: Investment Management Team NATURE: We work with Rulla Nehme as part of an ensemble practice on as a joint rep code , focusing on investment advisory support. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2023 ADDRESS: 400 Westminster St, Providence RI 02903, United States DESCRIPTION: Support Rulla with the management of her advisory portfolios, content and thought leadership 8. AMP CONSULTING GROUP POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 50 START DATE: 05/23/2023 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: AMP Consulting Group is the marketing name for the services we provide.

Exams

• S66 Uniform Combined State Law Examination
  2010-12-28