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EP

Ezra L. Proctor

Some features on this profile are disabled
CRD#: 4786203
EP

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.

Ezra Luke Proctor was a registered financial professional .

Ezra is a previously registered financial professional and started their career in finance in 2004. Ezra had worked at 8 firms and has passed the Series 66, Series 7 and Series 24 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.

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

February 22, 2016 - October 6, 2025

INNOVANT ASSET MANAGEMENT

RIA
CRD#: 169400
NOVATO, CA
Past

December 4, 2013 - December 31, 2015

INNOVANT ASSET MANAGEMENT

RIA
CRD#: 169400
SAN FRANCISCO, CA
Past

January 18, 2012 - December 3, 2013

SORRENTO PACIFIC FINANCIAL, LLC

RIA
CRD#: 127787
SAUSALITO, CA
Past

January 17, 2012 - December 3, 2013

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAUSALITO, CA
Past

September 2, 2009 - January 25, 2012

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
SAN FRANCISCO, CA
Past

July 17, 2009 - January 25, 2012

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
SAN FRANCISCO, CA
Past

November 13, 2006 - September 12, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
SAN FRANCISCO, CA
Past

November 13, 2006 - September 12, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
SAN FRANCISCO, CA
Past

September 15, 2005 - November 14, 2006

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
REDWOOD CITY, CA
Past

September 15, 2005 - November 14, 2006

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
REDWOOD CITY, CA
Past

November 17, 2004 - November 2, 2005

MCCLURG CAPITAL CORPORATION

BD
CRD#: 16798
SAN RAFAEL, CA
Past

July 21, 2004 - October 4, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SAN FRANCISCO, CA
Past

July 10, 2004 - October 4, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 10, 2004 - October 4, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
RR
IAR
Series 66
Date: 7/20/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/20/2010
General Securities Principal Examination

Current Firm

IA
INNOVANT ASSET MANAGEMENT
INNOVANT ASSET MANAGEMENT | SMART, SHANNON MICHELLE | PROCTOR, EZRA LUKE

CRD#: 169400 / SEC#:

PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Novato, CA
Mailing Address
Phone number
(415) 888-8640
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Withdrawn1/25/2016

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

INNOVANT ASSET MANAGEMENT

CRD#: 169400

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