Unclaimed
Robert Sparks is a financial advisor with over 34 years of experience in the industry. Robert is currently registered with Wells Fargo Clearing Services, LLC. Robert has held previous registrations with Prudential Securities Incorporated, Josephthal & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential-Bache Securities Inc. Robert holds licenses for Series 3, 7, 8, 9, 10, 63, and 65. Robert has been a financial advisor at Wells Fargo Advisors LLC since 2009.
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
FL
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (AVENTURA FL)
NY
01/28/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/31/1994 - 01/21/1998
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
03/24/1988 - 05/21/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/24/1987 - 02/08/1988
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 10/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1987
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 06/27/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/1999
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/1987
Series 7 - General 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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