HP
Hana E. Pinard
INNOVATION PARTNERS LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 1732967
HP
Professional summary
Hana Elena Michelle Pinard, who also goes by Hana Michelle Pinard, John Baptist Pinard III, John Baptist Pinard, John Baptist III Pinard, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Hana is registered as a RR (Registered Representative) and started their career in finance in 1987. Hana has worked at 11 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Hana Michelle Pinard | John Baptist Pinard Iii | John Baptist Pinard | John Baptist Iii Pinard
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.
CRS (Client Relationship Summary) - BD
Click below to view Hana Elena Michelle Pinard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 5, 2014 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
November 16, 2011 - December 31, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SHOREACRES, TX
Past
January 3, 2006 - November 13, 2009
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
SHOREACRES, TX
Past
January 5, 2005 - September 22, 2005
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
January 1, 2004 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 7, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
November 2, 1993 - March 4, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
June 29, 1990 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
BD
CRD#: 13741
EL PASO, TX
Past
March 31, 1989 - October 4, 1989
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 10, 1989 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
NORTH PALM BEACH, FL
Past
October 10, 1988 - January 30, 1989
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
September 22, 1987 - October 19, 1988
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
IP
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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(5/5/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 3/31/1998
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IP
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)BD
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)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
