JV
James H. Van Epps
INNOVATION PARTNERS LLC
Roswell, GA 30075
Some features on this profile are disabled
CRD#: 844958
JV
Professional summary
James H Van Epps, who also goes by James H Vanepps, James Vanepps, Jim Vanepps, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Roswell, Georgia.
James is registered as a RR (Registered Representative) and started their career in finance in 1977. James has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James H Vanepps | James Vanepps | Jim Vanepps
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 James H Van Epps'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
August 25, 2015 - Present
INNOVATION PARTNERS LLC
Office #1: 10930 Crabapple Road Suite 206, Roswell, GA 30075RIA
BD
CRD#: 146344
Roswell, GA
Past
March 2, 2020 - August 13, 2020
IP FINANCIAL ADVISORY SERVICES LLC
RIA
CRD#: 305772
Roswell, GA
Past
September 2, 2015 - January 14, 2020
INNOVATION PARTNERS LLC
RIA
CRD#: 146344
ROSWELL, GA
Past
January 20, 2006 - August 31, 2015
FPCM SECURITIES, LLC
BD
CRD#: 38283
ROSWELL, GA
Past
November 7, 2005 - October 9, 2015
FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC
RIA
CRD#: 132466
ROSWELL, GA
Past
August 27, 2001 - September 30, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 22, 1997 - September 30, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
October 26, 1993 - August 27, 2001
EXECUTIVE SERVICES SECURITIES, LLC
BD
CRD#: 25299
ATLANTA, GA
Past
September 15, 1993 - October 8, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
May 11, 1987 - September 13, 1988
MORISON SECURITIES, INC.
BD
CRD#: 8097
Past
April 24, 1987 - October 19, 1990
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
January 1, 1986 - December 20, 1986
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
Past
August 22, 1981 - August 7, 1984
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
Past
October 20, 1980 - November 10, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
November 1, 1977 - March 19, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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
Alabama(8/25/2015)
RR
California(8/25/2015)
RR
Connecticut(8/25/2015)
RR
Delaware(8/25/2015)
RR
Florida(8/25/2015)
RR
Georgia(8/25/2015)
RR
Illinois(8/25/2015)
RR
Indiana(8/25/2015)
RR
Massachusetts(8/25/2015)
RR
Michigan(8/25/2015)
RR
Minnesota(8/25/2015)
RR
Missouri(8/25/2015)
RR
New Jersey(8/25/2015)
RR
New York(8/25/2015)
RR
North Carolina(8/25/2015)
RR
Ohio(8/25/2015)
RR
Oklahoma(8/25/2015)
RR
Pennsylvania(8/25/2015)
RR
Rhode Island(8/25/2015)
RR
Tennessee(8/25/2015)
RR
Texas(8/25/2015)
RR
Virginia(8/25/2015)
RR
Wisconsin(8/25/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/22/1977
Registered Representative ExaminationSRO 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.
