JS
James K. Spann
IP FINANCIAL ADVISORY SERVICES LLC
Ooltewah, TN
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CRD#: 2291402
JS
Professional summary
James Kenneth Spann, who also goes by Ken Spann, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Ooltewah, Tennessee and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Spann
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.
1). OFFICE PROPERTIES LLC. POSITION: Owner. NATURE: General Partner of entity, 52% owner, 3 children are each 16% stakeholders. INVESTMENT RELATED: NO NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 15 START DATE: 04/30/2015 ADDRESS: 9216 Hopi Trail, Ooltewah 37363, United States DESCRIPTION: Owner of commercial property LP.___ 2). CHAMPION ACCOUNTING SERVICES (CAS). POSITION & DESCRIPTION: Sole Proprietor. NATURE: Rent & manage houses & commercial suites. Rent & property management services for houses & commercial real estate owned by Office Properties LP, a family LP where I am General Partner and my three children are Limited Partners. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 06/14/1982 ADDRESS: 9216 Hopi Trail, Ooltewah TN 37363, United States DESCRIPTION: Rent & manage houses & commercial suites for Office Properties LP, our family limited partnership.___ 3). KENNETH SPANN POSITION: owner NATURE: Sole Proprietorship, Independent Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2015 ADDRESS: 9216 Hopi Trail, Ooltewah TN 37363, United States DESCRIPTION: Fixed Interest Annuity MYGAs, Medicare, Dental insurance___ 4). SPANN INVESTMENTS & BUSINESS SERVICES LIMITED PARTNERSHIP POSITION: General Partner NATURE: Second family limited partnership which invests and manages excess cash flow from Office Properties LP/ INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2002 ADDRESS: 9216 Hopi Trail, Ooltewah TN 37363, United States DESCRIPTION: Invest excess cash flow from Office Properties LP, other family LP.
CRS (Client Relationship Summary) - RIA
Click below to view James Kenneth Spann'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
October 12, 2021 - Present
IP FINANCIAL ADVISORY SERVICES LLC
RIA
CRD#: 305772
Ooltewah, TN
Current
October 8, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
March 1, 2019 - October 12, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OOLTEWAH, TN
Past
March 1, 2019 - October 12, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OOLTEWAH, TN
Past
April 30, 2015 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
OOLTEWAH, TN
Past
April 30, 2015 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
OOLTEWAH, TN
Past
March 17, 2015 - April 24, 2015
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
OOLTEWAH, TN
Past
March 17, 2015 - April 24, 2015
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Ooltewah, TN
Past
March 28, 2003 - March 12, 2015
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
KNOXVILLE, TN
Past
January 21, 1999 - March 12, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
KNOXVILLE, TN
Past
November 13, 1992 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
IF
IP FINANCIAL ADVISORY SERVICES LLC
DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
RIA
Registered Investment Advisory firm - (10/17/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(10/13/2021)
RR
Florida(10/8/2021)
RR
Georgia(10/8/2021)
RR
Indiana(10/8/2021)
RR
Mississippi(10/8/2021)
RR
Missouri(10/8/2021)
RR
Tennessee(10/8/2021)
IAR
Tennessee(10/12/2021)
RR
Texas(10/8/2021)
RR
Virginia(10/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IP FINANCIAL ADVISORY SERVICES LLC
DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
RIA
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Contact information
Main Address
5950 Fairview Road, Suite 140, Charlotte, NC 28210
Mailing Address
Phone number
(980) 326-3335
Established
Firm type
Fiscal year end
# of Employees
112
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
