Joseph T. Day

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CRD#: 2678855

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Thomas Day, who also goes by Joe T Day, Joe Day, Joseph T Day, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe T Day | Joe Day | Joseph T Day

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

November 25, 2014 - October 15, 2021

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

July 10, 2014 - August 14, 2014

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

KENTWOOD, MI

Past

January 27, 2014 - March 12, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

June 20, 2013 - December 31, 2013

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

May 23, 2012 - December 31, 2012

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

FARGO, ND

Past

May 20, 2011 - April 19, 2012

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

FARGO, ND

Past

September 23, 2009 - December 31, 2010

QA3 FINANCIAL CORP.

CRD#: 14754

FARGO, ND

Past

April 25, 2007 - October 2, 2009

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

FARGO, ND

Past

April 8, 2005 - March 26, 2007

FIRST FOUNDERS SECURITIES, INC.

CRD#: 128624

WEST FARGO, ND

Past

February 16, 2001 - November 28, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

November 9, 1995 - January 5, 2001

CRI SECURITIES, LLC

CRD#: 22589

ST. PAUL, MN

Past

November 9, 1995 - January 5, 2001

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

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: 7/1/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/9/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/7/2005

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Joseph T. Day

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGULUS FINANCIAL GROUP, LLC

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS, N.C., INC.

AUSDAL FINANCIAL PARTNERS, INC.

COLORADO FINANCIAL SERVICE CORPORATION

QA3 FINANCIAL CORP.

TRANSAMERICA FINANCIAL ADVISORS, LLC

FIRST FOUNDERS SECURITIES, INC.

PARK AVENUE SECURITIES LLC

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INNOVATION PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/2005

Series 65

Date: 4/9/1999

SIE

Date: 10/1/2018

Series 6

Date: 4/7/2005

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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