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Current Employers
Ip Financial Advisory Services Llc

5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-02-09
  • CA RA
    APPROVED
    Since 2021-02-09

Branch Locations

Irvine, CA • United States

5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Transamerica Financial Advisors, Inc Laguna Hills CA 08/2017 08/2018
World Financial Group, Inc. Laguna Hills CA 11/2015 08/2017
Grand Prospects Financial & Insurance Services City Of Industry CA 08/2018 Present
Fortune Securities Inc Alhambra CA 03/2019 12/2020
Castle Group Investment Counsel, Inc. Arcadia CA 07/2020 12/2020
Innovation Partners Llc Charlotte NC 01/2021 Present
Ip Financial Services, Llc Charlotte NC 02/2021 Present
  • 08/2017 → 08/2018
    Transamerica Financial Advisors, Inc
    Laguna Hills, CA
  • 11/2015 → 08/2017
    World Financial Group, Inc.
    Laguna Hills, CA
  • 08/2018 → Present
    Grand Prospects Financial & Insurance Services
    City Of Industry, CA
  • 03/2019 → 12/2020
    Fortune Securities Inc
    Alhambra, CA
  • 07/2020 → 12/2020
    Arcadia, CA
  • 01/2021 → Present
    Innovation Partners Llc
    Charlotte, NC
  • 02/2021 → Present
    Ip Financial Services, Llc
    Charlotte, NC
Previous Registrations
Other Businesses

Independent insurance agent; Grand Prospects Financial & Insurance Services; City of Industry, CA; 08/2018 to present; 20 hours/week, 0 hours during trading hours; No investment related Registered Representative; Fortune Securities, Inc.; Alhambra, CA; 03/2019 to present; 20 hours/week, 15 hours during trading hours, investment-related Registered Investment Advisor Rep; Castle Group Investment Counsel, Inc.; Arcadia, CA; 07/2020 to present; 2 hours per month, 0 hours during trading hours, investment-related Management and Business Development, CEO- Exeter Energy Inc; 35 Waterspout, Irvine CA 92620. Commission Base, 20 hours per week, Non-Investment-related. Providing cleaning service for solar panels using IPV cleaning robot. Haizol Dot Com, BD And marketing for automated intelligent system, Marketing support, $30k approx 10 week. BGA Insurance Group, For Profit. Insurance Agent. Start Date: 04/10/2025, End Date 04/10/2026. 35 Watersprout, Irvine, CA 92620. Very limited investment advisory, focus on insurance, annuity, and index insurance products. 15 hours per week. Business hour depends on potential client need.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-05
S63 Uniform Securities Agent State Law Examination 2017-08-08
  • S65 Uniform Investment Adviser Law Examination
    2018-04-05
  • S63 Uniform Securities Agent State Law Examination
    2017-08-08

View on SEC IAPD

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