Ronald H. Berg

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CRD#: 19008

Professional summary

Ronald Harland Berg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Ronald had worked at 19 firms, which includes INNOVATION PARTNERS LLC, NEWPORT COAST SECURITIES INC., ATHENA CAPITAL PARTNERS INC., INTERMOUNTAIN FINANCIAL SERVICES INC., BROOKSTONE SECURITIES INC., EMPIRE FINANCIAL GROUP INC., CENTENNIAL CAPITAL MANAGEMENT INC., CRISPIN KOEHLER SECURITIES, CAPITAL GROWTH RESOURCES, BUTTONWOOD SECURITIES INC., PACIFIC CONTINENTAL SECURITIES CORPORATION, TITAN/VALUE EQUITIES GROUP INC., FIRST AMERICAN INVESTMENT SECURITIES INC., GREATER PACIFIC SECURITIESINC., WHARTON FINANCIAL CORP., TOWER SQUARE SECURITIES INC., M. H. DECKARD & CO. INC., E. F. HUTTON & COMPANY INC, DUPONT GLORE FORGAN INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

August 12, 2016 - May 31, 2024

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

November 16, 2011 - August 8, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

ANAHEIM, CA

Past

October 17, 2011 - October 31, 2011

ATHENA CAPITAL PARTNERS, INC.

CRD#: 116226

TAMPA, FL

Past

June 3, 2011 - October 7, 2011

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

March 1, 2010 - June 27, 2011

INTERMOUNTAIN FINANCIAL SERVICES, INC.

CRD#: 15386

HEBER CITY, UT

Past

October 20, 2008 - January 19, 2010

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

July 20, 2001 - October 28, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

ANAHEIM, CA

Past

April 11, 1997 - July 20, 2001

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRD#: 38988

ATLANTA, GA

Past

May 16, 1996 - March 21, 1997

CRISPIN KOEHLER SECURITIES

CRD#: 10596

TAMPA, FL

Past

January 26, 1996 - May 11, 1996

CAPITAL GROWTH RESOURCES

CRD#: 7779

EL CAJON, CA

Past

June 2, 1993 - December 15, 1995

BUTTONWOOD SECURITIES, INC.

CRD#: 18420

NEW YORK, NY

Past

October 9, 1992 - May 4, 1993

PACIFIC CONTINENTAL SECURITIES CORPORATION

CRD#: 2398

BEVERLY HILLS, CA

Past

May 27, 1987 - September 18, 1992

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 28, 1985 - June 16, 1987

FIRST AMERICAN INVESTMENT SECURITIES, INC.

CRD#: 13689

Past

May 17, 1982 - April 11, 1984

GREATER PACIFIC SECURITIES,INC.

CRD#: 10488

Past

December 7, 1978 - May 1, 1980

WHARTON FINANCIAL CORP.

CRD#: 7286

Past

November 14, 1977 - December 7, 1978

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

Past

April 10, 1975 - October 29, 1976

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

November 21, 1974 - December 11, 1977

M. H. DECKARD & CO., INC.

CRD#: 539

Past

September 10, 1973 - April 7, 1974

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 29, 1973 - September 3, 1973

DUPONT GLORE FORGAN INCORPORATED

CRD#: 1000002

Past

February 17, 1972 - July 15, 1973

M. H. DECKARD & CO., INC.

CRD#: 539

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: 1/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/14/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 1/16/1978

Registered Principal 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

Ronald H. Berg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

ATHENA CAPITAL PARTNERS, INC.

NEWPORT COAST SECURITIES, INC.

INTERMOUNTAIN FINANCIAL SERVICES, INC.

BROOKSTONE SECURITIES, INC.

EMPIRE FINANCIAL GROUP, INC.

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRISPIN KOEHLER SECURITIES

CAPITAL GROWTH RESOURCES

BUTTONWOOD SECURITIES, INC.

PACIFIC CONTINENTAL SECURITIES CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

FIRST AMERICAN INVESTMENT SECURITIES, INC.

GREATER PACIFIC SECURITIES,INC.

WHARTON FINANCIAL CORP.

TITAN/VALUE EQUITIES GROUP, INC.

TOWER SQUARE SECURITIES, INC.

M. H. DECKARD & CO., INC.

E. F. HUTTON & COMPANY INC

DUPONT GLORE FORGAN INCORPORATED

M. H. DECKARD & CO., INC.

Primary Firm SEC Registration

INNOVATION PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/1996

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/14/1972

Series 40

Date: 1/16/1978

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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