Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Sparkman is a financial advisor with Raymond James Financial Services Advisors, Inc. Roy has been in the industry since 1984. Roy is licensed in Arizona, California, Colorado, Georgia, New Mexico, Ohio, Oklahoma, Texas, Washington, and Wyoming. Roy holds the Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, Series 24, Series 31, and SIE licenses. Roy is a Certified Financial Planner. Roy has previous experience with RAYMOND JAMES & ASSOCIATES, INC., PRINCIPAL FINANCIAL SECURITIES,INC., PRUDENTIAL SECURITIES INCORPORATED, and DEAN WITTER REYNOLDS INC.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
11/18/2024 - Present
Raymond James Financial Services Advisors, Inc. (Austin TX)
TX
02/06/1998 - 04/02/2013
RAYMOND JAMES & ASSOCIATES, INC. (AUSTIN TX)
TX
05/08/1995 - 03/02/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NY
01/05/1987 - 06/09/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/18/1984 - 01/14/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 02/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1984
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 04/13/2009
Series 24 - General Securities Principal Examination
BC
Issued 07/21/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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