AB
Arik Botier
INNOVATION PARTNERS LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2686801
AB
Professional summary
Arik Botier is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Arik is registered as a RR (Registered Representative) and started their career in finance in 1996. Arik has worked at 20 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Arik Botier'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
February 5, 2024 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
November 18, 2022 - December 13, 2023
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Franklin Square, NY
Past
July 17, 2020 - December 2, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Hicksville, NY
Past
March 5, 2013 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
Hicksville, NY
Past
April 28, 2004 - March 26, 2013
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
UNIONDALE, NY
Past
April 6, 2004 - April 27, 2004
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
November 3, 2003 - April 1, 2004
EKN FINANCIAL SERVICES INC.
BD
CRD#: 113525
MELVILLE, NY
Past
August 6, 2002 - October 31, 2002
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
Past
July 10, 2002 - August 15, 2002
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
March 5, 2002 - May 16, 2002
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
February 11, 2002 - April 1, 2002
PARK CAPITAL SECURITIES, LLC
BD
CRD#: 104206
NEW YORK, NY
Past
May 7, 2001 - November 30, 2001
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
November 6, 2000 - November 21, 2000
PRESTON LANGLEY ASSET MANAGEMENT, INC.
BD
CRD#: 35733
NEW YORK, NY
Past
March 23, 1999 - October 4, 1999
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
Past
November 3, 1998 - December 17, 1998
J. P. GIBBONS & CO., INC.
BD
CRD#: 38850
NEW YORK, NY
Past
August 21, 1998 - November 2, 1998
TASIN & COMPANY, INC.
BD
CRD#: 30709
HAUPPAUGE, NY
Past
December 19, 1997 - July 8, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
BD
CRD#: 37447
MINEOLA, NY
Past
August 19, 1997 - October 20, 1997
FIRST METROPOLITAN SECURITIES, INC.
BD
CRD#: 7594
NEW YORK, NY
Past
March 21, 1997 - May 27, 1997
H G I
BD
CRD#: 14079
JERICHO, NY
Past
November 8, 1996 - September 9, 1997
DUKE & CO., INC.
BD
CRD#: 8035
NEW YORK, NY
Past
August 8, 1996 - November 25, 1996
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
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
California(2/6/2024)
RR
Georgia(2/7/2024)
RR
Illinois(2/9/2024)
RR
Michigan(4/24/2025)
RR
Nevada(2/8/2024)
RR
New York(2/7/2024)
RR
North Carolina(2/9/2024)
RR
Pennsylvania(2/6/2024)
RR
South Carolina(2/22/2024)
RR
Texas(2/6/2024)
RR
Virginia(2/8/2024)
RR
Washington(4/22/2025)
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)
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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.
