John O. Francies

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CRD#: 1345243

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Oscar Francies, who also goes by Jay Francies, John Oscar Francies III, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1985. John had worked at 16 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Francies | John Oscar Francies Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 20, 2022 - October 28, 2022

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

June 24, 2021 - February 28, 2022

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

June 17, 2021 - February 28, 2022

IP FINANCIAL ADVISORY SERVICES LLC

RIA

CRD#: 305772

Clayton, NC

Past

April 30, 2019 - December 16, 2020

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Clayton, NC

Past

January 28, 2019 - December 16, 2020

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GREENVILLE, NC

Past

September 12, 2013 - April 14, 2014

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

December 13, 2011 - December 31, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

HUNT VALLEY, MD

Past

November 18, 2011 - December 31, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HUNT VALLEY, MD

Past

January 25, 2000 - February 3, 2011

CAMPBELL FINANCIAL SERVICES, LLC

CRD#: 42953

BALTIMORE, MD

Past

February 16, 1994 - November 14, 1994

FSC SECURITIES CORPORATION

CRD#: 7461

Past

November 5, 1993 - January 14, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

November 5, 1993 - January 14, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Past

September 19, 1989 - October 26, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

September 19, 1989 - October 26, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 7, 1988 - July 20, 1989

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

Past

February 24, 1987 - October 19, 1987

NYLIFE SECURITIES LLC

CRD#: 5167

Past

September 15, 1986 - April 3, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

February 8, 1986 - September 30, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 12, 1985 - February 24, 1986

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INNOVATION PARTNERS LLC

DEEMER WEALTH MANAGEMENT | INNOVATION PARTNERS LLC. | INNOVATION PARTNERS LLC

CRD#: 146344 / SEC#: 801-78702, 8-67812

RIA

Registered Investment Advisory firm - SEC (10/24/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

California

Registered Investment Advisory firm - SEC (1/9/2014 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/17/2013 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Indiana

Registered Investment Advisory firm - SEC (12/11/2013 Terminated)

Nevada

Registered Investment Advisory firm - SEC (1/10/2014 Terminated)

New York

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/11/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/28/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/7/2021

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/28/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2000

General Securities Representative Examination

Current Firm

INNOVATION PARTNERS LLC

DEEMER WEALTH MANAGEMENT | INNOVATION PARTNERS LLC. | INNOVATION PARTNERS LLC

CRD#: 146344 / SEC#: 801-78702, 8-67812

RIA

Registered Investment Advisory firm - SEC (10/24/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

California

Registered Investment Advisory firm - SEC (1/9/2014 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/17/2013 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Indiana

Registered Investment Advisory firm - SEC (12/11/2013 Terminated)

Nevada

Registered Investment Advisory firm - SEC (1/10/2014 Terminated)

New York

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (12/11/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/10/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

5950 Fairview Road Suite 140, Charlotte, NC 28210

Mailing Address

5950 Fairview Road Suite 140, Charlotte, NC 28210

Phone number

(704) 708-5461

Established

North Carolina since 11/19/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

297

SEC notice filing (40 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JOHN POLYVIOU ADV PART 2B (7/7/2025)

DAVID KARIN_ADV PART 2B (6/25/2025)

INNOVATION PARTNERS LLC ADV PART 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
E STRICKER HOLDINGS LLC	STOCKHOLDER
ANAGENISIS INVESTMENT HOLDINGS LLC	STOCK HOLDER
CAMPBELL, ROBERT	FINOP	1349154
MCNABB, MATTHEW JOHN	CO-CCO	2119641
POLYVIOU, JOHN ANTHONY	CO-CCO, PRESIDENT AND RIA PRINCIPAL	2030212
UYESUGI, LAUREN ARNETT	COMPLIANCE PRINCIPAL	2889864

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John O. Francies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INNOVATION PARTNERS LLC

IP FINANCIAL ADVISORY SERVICES LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

FRONTIER SOLUTIONS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CAMPBELL FINANCIAL SERVICES, LLC

FSC SECURITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MARINER FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

FSC SECURITIES CORPORATION

E. F. HUTTON & COMPANY INC

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

INNOVATION PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/2019

Series 7TO

Date: 7/7/2021

Series 6TO

Date: 1/28/2019

SIE

Date: 11/7/2018

Series 7

Date: 1/24/2000

Current Firm

INNOVATION PARTNERS LLC

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INNOVATION PARTNERS LLC

TRUST BUT VERIFY

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