AJ
Arthur J. Johnson
INNOVATION PARTNERS
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2510972
AJ
Professional summary
Arthur James Johnson III, who also goes by Arthur James Johnson III, Art Johnson, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1994. Arthur has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Arthur James Johnson Iii | Art Johnson
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 Arthur James Johnson III'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
April 17, 2026 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
July 10, 2019 - April 25, 2024
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SAN JUAN CAPISTRANO, CA
Past
July 3, 2019 - April 25, 2024
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SAN JUAN CAPISTRANO, CA
Past
November 8, 2012 - March 27, 2019
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ANAHEIM, CA
Past
November 7, 2012 - March 27, 2019
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ANAHEIM, CA
Past
October 17, 2006 - November 19, 2012
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
HUNTINGTON BEACH, CA
Past
November 21, 2005 - November 19, 2012
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
HUNTINGTON BEACH, CA
Past
April 30, 2003 - November 16, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LAGUNA NIGUEL, CA
Past
March 31, 2003 - November 16, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
February 5, 2003 - April 8, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 31, 1997 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
September 13, 1994 - January 31, 1997
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
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.
Visual representation of state registrations
This advisor is not registered in any state.
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
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.
Company Information
INNOVATION PARTNERS LLC
CRD#: 146344Charlotte, NC 28210TRUST BUT VERIFY
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