Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lemuel Sparks is a financial advisor with over 20 years of experience in the financial services industry. Steven is currently registered with Cambridge Investment Research Advisors, Inc., and has been associated with the firm since February 2016. Steven's previous experience includes roles at Ameritas Investment Corp. and Carillon Investments, Inc.. Steven holds a Series 66 and Series 7 license, and is registered to provide investment advice in several states. Steven provides financial planning, pension consulting, educational seminars and market timing services. Steven is also affiliated with Wind River Financial DBA Capital Concepts Financial Group, Hickory Christian Academy, and Capital Concepts Properties.
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.
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.
Solicitation fees from 3rd party money managers
1
2
NC
03/11/2016 - Present
Cambridge Investment Research Advisors, Inc. (Hickory NC)
NC
06/30/2006 - 02/08/2016
AMERITAS INVESTMENT CORP. (HICKORY NC)
NC
09/25/2000 - 06/30/2006
CARILLON INVESTMENTS, INC. (HICKORY NC)
BOTH
Issued 12/01/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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