Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Sparling is an investment advisor with over 25 years of experience in the financial services industry. Kenneth has worked with Wells Fargo Clearing Services, LLC since 2016. Previously, Kenneth worked with Stifel, Nicolaus & Company, Incorporated and Ameriprise Advisor Services, Inc. Kenneth holds a variety of licenses including Series 63, Series 65, Series 7, Series 10, Series 24, Series 31, Series 52 and the SIE. Kenneth is also registered as an investment advisor in numerous states. Kenneth specializes in providing investment advice to a range of clients including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations and insurance companies. Kenneth is committed to providing clients with personalized financial advice that meets their unique needs. Kenneth is registered with Wells Fargo Clearing Services, LLC, a firm with over $10 billion to $50 billion in assets under management. Wells Fargo Clearing Services, LLC provides a variety of advisory services including financial planning, investment management for businesses and individuals, portfolio management for pooled investment vehicles and pension consulting.
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.
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.
Investment consulting services to institutional clients
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
CA
07/21/2017 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
06/03/2009 - 04/07/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN JOSE CA)
UT
04/06/1995 - 03/26/2009
AMERIPRISE ADVISOR SERVICES, INC. (MIDVALE UT)
IA
Issued 01/16/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/2004
Series 24 - General Securities Principal Examination
BC
Issued 05/05/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/06/1995
Series 7 - General Securities Representative Examination
BC
Issued 04/05/1995
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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