Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Germaine? Claim Your ProfileGermaine Sparkes is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Germaine has been working in the financial services industry since November 5, 2010, and is registered in 53 states and territories. Germaine holds the Series 7, Series 9, Series 63, and Series 65 licenses. Germaine has experience working with a variety of clients, including individuals, corporations, high-net-worth individuals, and pension and profit-sharing plans. Germaine provides advisory services, such as portfolio management for individuals and businesses, as well as pension consulting. Germaine is dedicated to providing clients with personalized financial advice and investment solutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
08/17/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
IA
Issued 04/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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