MS
Michael S. Swanson
INNOVATION PARTNERS LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 1971730
MS
Professional summary
Michael Scott Swanson, who also goes by Michael S Swanson, Mike Swanson, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael S Swanson | Mike Swanson
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 Michael Scott Swanson'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
July 8, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
January 2, 2019 - June 3, 2021
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MANKATO, MN
Past
June 12, 2013 - December 31, 2018
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
MANKATO, MN
Past
August 8, 2008 - March 15, 2013
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MANKATO, MN
Past
October 4, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MANKATO, MN
Past
October 4, 2004 - July 22, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MANKATO, MN
Past
December 18, 2001 - October 5, 2004
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
August 1, 2000 - December 18, 2001
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Past
July 1, 1996 - September 29, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
September 11, 1993 - July 1, 1996
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
May 5, 1993 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Past
March 16, 1990 - December 31, 1992
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 7, 1989 - February 13, 1990
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
Minnesota(7/8/2021)
Exams
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
