Roland F. Chicas

INNOVATION PARTNERS

Charlotte, NC 28210

CRD#: 2712639

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Professional summary

Roland F Chicas, who also goes by Roland Francis Chicas, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Roland is registered as a RR (Registered Representative) and started their career in finance in 1996. Roland has worked at 15 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roland Francis Chicas

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 Roland F Chicas'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

January 3, 2020 - Present

INNOVATION PARTNERS LLC

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

RIA

CRD#: 146344

Charlotte, NC

Past

May 16, 2016 - November 1, 2017

INNOVATION PARTNERS LLC

CRD#: 146344

Albuquerque, NM

Past

April 7, 2015 - February 24, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ALBUQUERQUE, NM

Past

May 11, 2012 - April 2, 2013

NEW ENGLAND SECURITIES

RIA

CRD#: 615

ALBUQUERQUE, NM

Past

December 12, 2011 - April 2, 2013

NEW ENGLAND SECURITIES

CRD#: 615

ALBUQUERQUE, NM

Past

March 8, 2010 - September 30, 2011

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

ALBUQUERQUE, NM

Past

February 3, 2010 - September 30, 2011

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

ALBUQUERQUE, NM

Past

August 1, 2008 - August 5, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ALBUQUERQUE, NM

Past

June 18, 2008 - August 5, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

ALBUQUERQUE, NM

Past

February 12, 2008 - May 30, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ALBUQUERQUE, NM

Past

February 8, 2008 - May 30, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ALBUQUERQUE, NM

Past

April 21, 2006 - February 14, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

OCEANSIDE, CA

Past

April 21, 2006 - February 14, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

OCEANSIDE, CA

Past

April 27, 2004 - March 31, 2006

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CARLSBAD, CA

Past

September 24, 2003 - March 31, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

CARLSBAD, CA

Past

September 24, 2003 - March 31, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CARLSBAD, CA

Past

May 15, 2001 - September 18, 2003

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

MERIDIAN, ID

Past

September 25, 2000 - May 16, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 18, 2000 - February 5, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 1, 1999 - January 7, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

July 8, 1999 - October 7, 1999

KEY CLEARING CORP.

CRD#: 37595

BROOKLYN, OH

Past

May 7, 1996 - September 17, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, 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".

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

New Mexico
(1/22/2020)

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

IAR

Series 66

Date: 5/25/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/1996

Investment Company Products/Variable Contracts 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roland F. Chicas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roland F Chicas's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

ALLSTATE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

KEYBANC CAPITAL MARKETS INC.

KEY CLEARING CORP.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

INNOVATION PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2000

Series 63

Date: 7/2/1996

Series 6TO

Date: 1/2/2023

SIE

Date: 11/1/2017

Series 7

Date: 11/17/1999

Series 6

Date: 5/6/1996

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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