Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Sparks is a financial advisor registered with Mariner Wealth. David has been in the industry since 2010 and is active in both the broker-dealer and investment advisor channels. David holds Series 7, 9, 10, 63, and 66 securities licenses and is a Certified Financial Planner. Prior to joining Mariner Wealth, David worked at J.P. MORGAN SECURITIES LLC and SCOTTRADE, INC. David is also a board member and chair of the Governance Committee for Santa Maria Community Services, a Cincinnati, OH based charity.
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.
Family office services
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.
A percentage of the total value of assets under management is charged.
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2
OH
03/02/2021 - Present
Mariner Wealth (Cincinnati OH)
OH
03/21/2018 - 01/23/2019
J.P. MORGAN SECURITIES LLC (WEST CHESTER OH)
OH
09/30/2011 - 03/08/2018
SCOTTRADE, INC. (WEST CHESTER OH)
BOTH
Issued 02/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/04/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2011
Series 7 - General Securities Representative Examination
Active
Inactive
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