James R. Patton

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CRD#: 6827129

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.

James Rhees Patton, who also goes by James Patton, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2017. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Aliases

James Patton

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

March 17, 2026 - July 21, 2026

IP FINANCIAL ADVISORY SERVICES LLC

RIA

CRD#: 305772

Indianapolis, IN

Past

March 13, 2026 - July 21, 2026

INNOVATION PARTNERS LLC

CRD#: 146344

CHARLOTTE, NC

Past

February 18, 2022 - April 1, 2024

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

INDIANAPOLIS, IN

Past

January 19, 2022 - April 1, 2024

PARK AVENUE SECURITIES LLC

CRD#: 46173

INDIANAPOLIS, IN

Past

March 5, 2019 - October 20, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Indianapolis, IN

Past

February 26, 2019 - October 20, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

Indianapolis, IN

Past

September 8, 2017 - January 24, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

INDIANAPOLIS, IN

Past

July 18, 2017 - January 24, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

INDIANAPOLIS, IN

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 FINANCIAL ADVISORY SERVICES LLC

DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC

CRD#: 305772 / SEC#: 801-117481

RIA

Registered Investment Advisory firm - (10/17/2019 Approved)

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

IAR

Series 65

Date: 8/31/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/7/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/17/2017

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/24/2017

Investment Company Products/Variable Contracts Principal Examination

Current Firm

IP FINANCIAL ADVISORY SERVICES LLC

DEEMER WEALTH MANAGEMENT | IP FINANCIAL ADVISORY SERVICES LLC | INNOVATION PARTNERS FINANCIAL SERVICES LLC

CRD#: 305772 / SEC#: 801-117481

RIA

Registered Investment Advisory firm - (10/17/2019 Approved)

PREMIUM

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Contact information

Main Address

5950 Fairview Road, Suite 140, Charlotte, NC 28210

Mailing Address

Phone number

(980) 326-3335

Established

Firm type

Fiscal year end

# of Employees

112

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOSEPH STAFFORD ADV PART 2B (2/19/2026)

EDWARD DIAZ ADV PART 2B (2/19/2026)

CLAYTON CORNHALL ADV PART 2B (2/19/2026)

CHARLES HARRIS ADV PART 2B (2/19/2026)

WALTER ZUROWSKI ADV PART 2B (2/19/2026)

EDWARD FINOCCHIARO ADV PART 2B (2/19/2026)

MICHAEL GRANT ADV PART 2B (2/17/2026)

THOMAS TIPTON ADV PART 2B (2/13/2026)

JOSHUA PACHECO ADV PART 2B (2/13/2026)

ERIC MARTZ ADV PART 2B (2/10/2026)

MARIO BROWN ADV PART 2B (2/9/2026)

YU YEUNG LI ADV PART 2B (2/9/2026)

DAVID CHANDLER ADV PART 2B (2/9/2026)

MARK WEATHERLY ADV PART 2B (1/6/2026)

DAVID BLOCK ADV PART 2B (12/17/2025)

MARTHA DELGADO ADV PART 2B (12/9/2025)

JOHN HARRIGAN ADV PART 2B (12/5/2025)

PARVIZ POURFARID ADV PART 2B (12/5/2025)

JUAN LEWIS ADV PART 2B (11/20/2025)

CHASE CARLIN ADV PART 2B (11/3/2025)

JOHN DORAN ADV PART 2B (10/29/2025)

DHRUV GUPTA ADV PART 2B (10/15/2025)

BRITTANEY COOKS ADV PART 2B (10/14/2025)

ALBERT ESPARZA ADV PART 2B (10/14/2025)

SCOTT LONEY_ADV PART 2B (6/25/2025)

SHINEECE SELLARS_ADV PART 2B (6/25/2025)

HARRISON CHANG_ADV PART 2B (6/25/2025)

MARK WALTER_ADV PART 2B (6/25/2025)

KURT LAWN_ADV PART 2B (6/25/2025)

MATT MCNABB_ADV PART 2B (6/25/2025)

LOGAN GARRETSON_ADV PART 2B (6/25/2025)

JEFFREY PERRY ADV PART 2B (6/25/2025)

RAKAEL CARR_ADV PART 2B (6/25/2025)

JEFFREY SCRIMENTI ADV PART 2B (3/31/2025)

MALIK PEARSON ADV PART 2B (3/31/2025)

MATTHEW GREINER ADV PART 2B (3/31/2025)

EARL MCCRARY ADV PART 2B (3/31/2025)

BRIAN MOCK ADV PART 2B (3/31/2025)

CELESTINE NJOKU ADV PART 2B (3/31/2025)

GUILLERMO NODARSE ADV PART 2B (3/31/2025)

ZACHARY RIOUX ADV PART 2B (3/31/2025)

GUY DEEMER ADV PART 2B (3/31/2025)

ANDREW BENET ADV PART 2B (3/31/2025)

ANTHONY HINDS-FRITZ ADV PART 2B (3/31/2025)

BRUCE DEVOOGD ADV PART 2B (3/31/2025)

DAVID REO ADV PART 2B (3/31/2025)

DONALD SILBERMAN ADV PART 2B (3/31/2025)

STEVE HOFFMAN ADV PART 2B (3/31/2025)

STEVE WHITE ADV PART 2B (3/31/2025)

MELVIN BROOKS ADV PART 2B (3/31/2025)

STACE JENSEN ADV PART 2B (3/31/2025)

LONNIE MCCLANE ADV PART 2B (3/31/2025)

THOMAS ADOLPH ADV PART 2B (3/31/2025)

GLENN DAVIDOW ADV PART 2B (3/31/2025)

SOPHEARATH UOY ADV PART 2B (3/31/2025)

ERIC MEDINA ADV PART 2B (3/31/2025)

JEFF KANTOR ADV PART 2B (3/31/2025)

DANIEL ODIGIE ADV PART 2B (3/31/2025)

AARON BERMAN ADV PART 2B (3/31/2025)

DALE POPE ADV PART 2B (3/31/2025)

SHAWN WEBB ADV PART 2B (3/31/2025)

MORRIS KAUFMAN ADV PART 2B (3/31/2025)

MICHAEL THOMAS ADV PART 2B (3/31/2025)

JAMES MADDEN ADV PART 2B (3/31/2025)

MICHAEL MILLARD ADV PART 2B (3/31/2025)

THEODORE BROOKS ADV PART 2B (3/31/2025)

ZAVEN YARUMIAN ADV PART 2B (3/31/2025)

PAUL HAYES ADV PART 2B (3/31/2025)

BRIAN CVETKOVSKI ADV PART 2B (3/31/2025)

GREGORY SWOVERLAND ADV PART 2B (3/31/2025)

YINGQI LINGHU ADV PART 2B (3/31/2025)

CHARLES HOWELL ADV PART 2B (3/31/2025)

JAMES WINTERS ADV PART 2B (3/31/2025)

MICHAEL BYERS ADV PART 2B (3/31/2025)

SCOTT OLSON ADV PART 2B (3/31/2025)

LARRY SANDERS ADV PART 2B (3/31/2025)

PAUL GRAFFY ADV PART 2B (3/31/2025)

TODD DONOFRIO ADV PART 2B (3/31/2025)

CHARLES SCHAD ADV PART 2B (3/31/2025)

WILLIAM DUVAL WHITE ADV PART 2B (3/31/2025)

DUSTIN HYCHE ADV PART 2B (3/31/2025)

PAUL ROWE ADV PART 2B (3/31/2025)

JEFFREY JOHNSON ADV PART 2B (3/31/2025)

LUIS ESPINOZA ADV PART 2B (3/31/2025)

LEI JIAO ADV PART 2B (3/31/2025)

LYNN SMERALDO ADV PART 2B (3/31/2025)

DANIEL BEECH ADV PART 2B (3/31/2025)

JACQUELYN ROBINSON ADV PART 2B (3/31/2025)

JAMES NEAYLON ADV PART 2B (3/31/2025)

KEVIN KELLEY ADV PART 2B (3/31/2025)

RICHARD KASH ADV PART 2B (3/31/2025)

TIMOTHY FLANAGAN ADV PART 2B (3/31/2025)

ROBIN JOHNSON ADV PART 2B (3/31/2025)

STEVEN CATANZARO ADV PART 2B (3/31/2025)

DEANA CARTER ADV PART 2B (3/31/2025)

JAMES KENNETH SPANN ADV PART 2B (3/31/2025)

TREVER PETERSON ADV PART 2B (3/31/2025)

STEPHEN TRASK ADV PART 2B (3/31/2025)

LOUIS WOODBECK ADV PART 2B (3/31/2025)

ROBERT GARDNER ADV PART 2B (3/31/2025)

DAVID HENSLEY ADV PART 2B (3/31/2025)

JASON MURRAY ADV PART 2B (3/31/2025)

JONATHAN WRIGHT ADV PART 2B (3/31/2025)

ROGER SLAYTON ADV PART 2B (3/31/2025)

ALBERT FU ADV PART 2B (3/31/2025)

BRIAN KURTICH ADV PART 2B (3/31/2025)

JOHN JAMES ADV PART 2B (3/31/2025)

ARON MARCINKOSKI ADV PART 2B (3/31/2025)

CHRIS CHILDERS ADV PART 2B (3/31/2025)

MYRA ZANGOULOS ADV PART 2B (3/31/2025)

MICHAEL MERCER ADV PART 2B (3/31/2025)

SHANNON POWERS ADV PART 2B (3/31/2025)

MICHAEL BALCH ADV PART 2B (3/31/2025)

RODNEY AMICONE ADV PART 2B (3/31/2025)

EMILY DECONCINI ADV PART 2B (3/31/2025)

CARL GOTTUSO ADV PART 2B (3/31/2025)

JAMES BENJAMSON_ADV PART 2B (3/31/2025)

ANDREW FIFIELD ADV PART 2B (3/31/2025)

THOMAS HESS ADV PART 2B (3/31/2025)

KEVIN FIFIELD ADV PART 2B (3/31/2025)

ERIK WALKER ADV PART 2B (3/31/2025)

MICHAEL BARROWS ADV PART 2B (3/31/2025)

JOHN POLYVIOU ADV PART 2B (3/31/2025)

PETER MCDONNELL ADV PART 2B (3/31/2025)

CRAIG MORNINGSTAR ADV PART 2B (3/31/2025)

VINCENT MALLON ADV PART 2B (3/31/2025)

ERIC WILLER ADV PART 2B (3/31/2025)

IP FINANCIAL ADVISORY SERVICES LLC ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,887
AUM (Assets Under Management)	$ 456,110,407

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

James R. Patton

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INNOVATION PARTNERS LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

IP FINANCIAL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2017

Series 63

Date: 7/31/2017

Series 7TO

Date: 7/7/2020

SIE

Date: 10/1/2018

Series 6

Date: 7/17/2017

Series 26

Date: 10/24/2017

Current Firm

IP FINANCIAL ADVISORY SERVICES LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IP FINANCIAL ADVISORY SERVICES LLC

TRUST BUT VERIFY

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