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5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-12-03 |
| MI | RA | APPROVED | 2020-01-09 |
Branch Locations
5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
Katy, TX • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 03/2006 | 06/2017 |
| Sigma Planning Corporation | Ann Arbor | MI | 04/2008 | 06/2017 |
| Innovation Partners Llc | Charlotte | NC | 06/2017 | Present |
Managing member - OLD HARBOR FINANCIAL LLC. Insurance agency that sells non-variable insurance products (fixed annuities, health insurance, Medicare supplement, term life, etc.). Start date: 3/9/12, approx. 80-100 hrs/mo, with 75% during market hours. SELL ALL LINES OF INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-19 |
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