Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lemuel Sparks is a financial professional with over 40 years of experience in the industry. David is currently registered with Cambridge Investment Research Advisors, Inc., and is located in Hickory, North Carolina. David's expertise includes financial planning, pension consulting, educational seminars, market timing services, selection of other advisors, and portfolio management for businesses and individuals. David has previously worked at a number of other firms, including Ameritas Investment Corp., Carillon Investments, Inc., and Investment Management & Research, Inc. David holds the SIE, Series 7, and Series 1 licenses and is a Chartered Financial Consultant.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
NC
02/01/2016 - Present
Cambridge Investment Research Advisors, Inc. (Hickory NC)
NC
06/30/2006 - 02/11/2016
AMERITAS INVESTMENT CORP. (HICKORY NC)
NC
10/01/1997 - 06/30/2006
CARILLON INVESTMENTS, INC. (HICKORY NC)
FL
11/03/1989 - 10/01/1997
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
OH
11/29/1988 - 11/14/1989
CARILLON INVESTMENTS, INC. (CINCINNATI OH)
NA
09/05/1985 - 11/14/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
11/17/1975 - 09/16/1985
NEL EQUITY SERVICES CORPORATION
BC
Issued 07/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
BC
Issued 11/10/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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