James Kenneth Spann
Investment Adviser Representative at IP Financial Advisory Services LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Kenneth Spann is an investment adviser representative in Ooltewah, TN, currently registered with Innovation Partners LLC and IP Financial Advisory Services LLC. They have worked in the securities industry since 1992 and have been registered with 6 firms, including Woodbury Financial Services, Inc. and Questar Asset Management, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Tennessee.
Registrations & licenses
- Investment adviser:
- Tennessee
- Broker:
9 states and territories
Alabama, Florida, Georgia, Indiana, Mississippi, Missouri, Tennessee, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Champion Accounting SpecialistsJan 1988 – no end date reportedOoltewah, TN
- Questar Capital CorporationApr 2015 – Mar 2019Minneapolis, MN
- Questar Asset ManagementApr 2015 – Mar 2019Minneapolis, MN
- Woodbury Financial Services, Inc.Mar 2019 – Oct 2021Ooltewah, TN
- Innovation Partners LLCOct 2021 – no end date reportedCharlotte, NC
- IP Financial Advisory Services LLCOct 2021 – no end date reportedCharlotte, NC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About IP Financial Advisory Services LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Firm account minimum
- $25,000 (waivable)
- Less than $10,0001.25%
- $25,000 to $100,0001.00%
- $100,000 to $250,0000.75%
- Greater than $250,0000.50%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Financial, investment and management consulting solutions.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 133
- Offices listed on AdvisorFinder:
- 29
- Main office:
- Charlotte, NC
- SEC file number:
- 801-117481
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 30, 2026
View full firm profileOther advisors at IP Financial Advisory Services LLC
Showing 12 of 133 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Kenneth Spann has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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