RS
Richard E. Stauffer
INNOVATION PARTNERS LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 846324
RS
Professional summary
Richard Earl Stauffer, who also goes by Rick Earl Stauffer, is a registered financial professional currently at INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1977. Richard has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Earl Stauffer
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 Richard Earl Stauffer'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
June 24, 2021 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210RIA
BD
CRD#: 146344
Charlotte, NC
Past
December 17, 2010 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
FRANKLIN, TN
Past
October 21, 2004 - September 14, 2009
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
FRANKLIN, TN
Past
December 13, 2002 - November 9, 2004
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
January 12, 2001 - December 17, 2002
HOWARD WEIL INCORPORATED
BD
CRD#: 30958
NEW ORLEANS, LA
Past
August 3, 1998 - April 19, 2000
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
November 19, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
October 29, 1997 - January 16, 2001
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
January 9, 1997 - September 25, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
June 3, 1994 - March 8, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 3, 1994 - March 8, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 15, 1991 - July 15, 1994
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
March 3, 1987 - December 11, 1990
STAUFFER FINANCIAL SERVICES, INC.
BD
CRD#: 18520
Past
August 22, 1984 - March 4, 1987
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
December 5, 1977 - November 5, 1984
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
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(6/24/2021)
RR
Florida(6/25/2021)
RR
Kentucky(6/29/2021)
RR
New Jersey(6/24/2021)
RR
New York(6/29/2021)
RR
Tennessee(6/24/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
