Billy W. Sparkman
Professional summary
Billy Wayne Sparkman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Billy is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Billy had worked at 20 firms, which includes FAS WEALTH MANAGEMENT SERVICES INC., FIRST RESEARCH FINANCIAL, IMS SECURITIES INC., WMA SECURITIES INC., TITAN/VALUE EQUITIES GROUP INC., LAIDLAW GLOBAL SECURITIES INC., HORNOR TOWNSEND & KENT LLC, MONY SECURITIES CORPORATION, D.E. FREY & COMPANY INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., EDWARD JONES, PRINCIPAL FINANCIAL SECURITIESINC., CONSECO EQUITY SALES INC., METLIFE INVESTORS DISTRIBUTION COMPANY, AMI SECURITIES INC., KNIBBE FINANCIAL GROUP INC., E. F. HUTTON & COMPANY INC, UBS FINANCIAL SERVICES INC., USA SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1999 - September 30, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
September 10, 1998 - December 31, 1998
FIRST RESEARCH FINANCIAL
March 10, 1997 - July 21, 1997
IMS SECURITIES, INC.
July 12, 1996 - March 14, 1997
WMA SECURITIES, INC.
August 30, 1995 - April 15, 1996
TITAN/VALUE EQUITIES GROUP, INC.
June 23, 1995 - August 30, 1995
LAIDLAW GLOBAL SECURITIES, INC.
April 27, 1995 - June 27, 1995
HORNOR, TOWNSEND & KENT, LLC
February 3, 1995 - March 27, 1995
MONY SECURITIES CORPORATION
August 12, 1994 - January 23, 1995
TITAN/VALUE EQUITIES GROUP, INC.
June 10, 1993 - August 16, 1994
D.E. FREY & COMPANY, INC.
May 7, 1993 - June 28, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 7, 1993 - June 28, 1993
OSAIC FA, INC.
July 13, 1992 - January 14, 1993
EDWARD JONES
January 14, 1992 - June 29, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
January 15, 1991 - February 19, 1992
CONSECO EQUITY SALES, INC.
February 9, 1989 - January 18, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 9, 1989 - January 18, 1991
OSAIC FA, INC.
December 21, 1988 - February 28, 1989
METLIFE INVESTORS DISTRIBUTION COMPANY
August 8, 1988 - September 28, 1988
AMI SECURITIES, INC.
January 11, 1988 - August 23, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
June 17, 1986 - January 20, 1988
KNIBBE FINANCIAL GROUP, INC.
March 20, 1986 - June 25, 1986
E. F. HUTTON & COMPANY INC
March 28, 1985 - March 12, 1986
UBS FINANCIAL SERVICES INC.
October 8, 1984 - March 26, 1985
USA SECURITIES, INC.
July 7, 1983 - October 1, 1984
UBS FINANCIAL SERVICES INC.
March 30, 1982 - June 13, 1983
PRINCIPAL FINANCIAL SECURITIES,INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FAS WEALTH MANAGEMENT SERVICES, INC.
CRD#: 10164 / SEC#: , 8-26618
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAS GROUP, INC. | SHAREHOLDER | |
| DELLAPENNA, GAETON STARK | CHIEF COMPLIANCE OFFICER,PRESIDENT/TREASURER/CFO/CEO | 1287224 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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