Sandy C. Giglio

INNOVATION PARTNERS LLC

Charlotte, NC 28210

CRD#: 220281

Professional summary

Sandy Charles Giglio is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Sandy is registered as a RR (Registered Representative) and started their career in finance in 1969. Sandy has worked at 12 firms and has passed the SIE, Series 7 and Series 1 exams.

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) - BD

Click below to view Sandy Charles Giglio's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 17, 2016 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210

RIA

CRD#: 146344

Charlotte, NC

Past

November 14, 2014 - May 31, 2016

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

March 29, 2007 - November 12, 2014

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

PALM COAST, FL

Past

March 20, 2006 - March 14, 2007

DALTON STRATEGIC INVESTMENT SERVICES INC.

CRD#: 23485

PALM COAST, FL

Past

July 14, 2000 - March 16, 2006

INVESTORS PLANNING SERVICES, CORP.

CRD#: 5798

EAST NORTHPORT, NY

Past

April 7, 1995 - June 2, 1999

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

December 19, 1994 - April 17, 1995

BENCH SECURITIES CORP.

CRD#: 15938

FORT LEE, NJ

Past

August 2, 1979 - December 19, 1994

FIRST EASTERN EQUITY CORP.

CRD#: 7331

ARMONK, NY

Past

July 7, 1976 - November 16, 1979

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

April 27, 1976 - August 15, 1976

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

April 3, 1974 - July 4, 1976

CFC EQUITIES, LLC

CRD#: 3736

Past

November 12, 1969 - April 28, 1974

INDEPENDENT SECURITIES CORPORATION

CRD#: 262

Past

September 16, 1969 - January 18, 1972

PERSONAL INVESTORS CO INC

CRD#: 1000001

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.

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

Florida
(5/12/2017)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2000

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/25/1966

Registered Representative Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Sandy C. Giglio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sandy Charles Giglio's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIDGEWAY & CONGER, INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

DALTON STRATEGIC INVESTMENT SERVICES INC.

INVESTORS PLANNING SERVICES, CORP.

1ST GLOBAL CAPITAL CORP.

BENCH SECURITIES CORP.

FIRST EASTERN EQUITY CORP.

TOWER SQUARE SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CFC EQUITIES, LLC

INDEPENDENT SECURITIES CORPORATION

PERSONAL INVESTORS CO INC

Primary Firm SEC Registration

INNOVATION PARTNERS LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2000

Series 1

Date: 5/25/1966

FINRA

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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