Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Edward Sparks is a financial advisor currently registered with ADP Broker-Dealer, Inc. Nicholas has been in the securities industry since 2003. Nicholas has been with ADP Broker-Dealer, Inc. since 2013. Prior to that, Nicholas was employed by Prudential Investment Management Services LLC, SunTrust Investment Services, Inc., UVEST Financial Services Group, Inc. and Pruco Securities, LLC. Nicholas is registered to conduct securities business in 52 states. Nicholas's license registrations include Series 7, Series 26, Series 66 and SIE exams.
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.
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.
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2
NJ
02/05/2013 - Present
ADP Broker-Dealer, Inc. (FLORHAM PARK NJ)
NJ
10/19/2007 - 02/13/2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
SC
07/17/2006 - 10/04/2007
SUNTRUST INVESTMENT SERVICES, INC. (SPARTANBURG SC)
NC
03/15/2005 - 07/05/2006
UVEST FINANCIAL SERVICES GROUP, INC. (HENDERSONVILLE NC)
NJ
07/29/2002 - 06/14/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
BOTH
Issued 08/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/27/2013
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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