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BS

Bruce M. Sparks

Some features on this profile are disabled
CRD#: 1374529
BS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Monell Sparks was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1985. Bruce had worked at 4 firms and has passed the Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 17, 1994 - October 11, 1999

PARK FINANCIAL GROUP, INC.

BD
CRD#: 30582
MAITLAND, FL
Past

September 5, 1985 - November 8, 1988

BRD FINANCIAL GROUP, INC.

BD
CRD#: 13863
Past

August 21, 1985 - August 27, 1985

HI SECURITIES, INC.

BD
CRD#: 4233
Past

June 6, 1985 - August 12, 1985

R.H. STEWART & CO., INC.

BD
CRD#: 13673

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 5/18/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/10/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/26/1987
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/1986
General Securities Principal Examination

Current Firm

PF
PARK FINANCIAL GROUP, INC.
JDQ FINANCIAL GROUP, INC. | PARK FINANCIAL GROUP, INC.

CRD#: 30582 / SEC#: , 8-45018

BD
Terminated by SEC on 10/30/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/17/1992
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GORDON CHARLES CANTLEY IRREVOCABLE TRUST DTD 12-6-07, KEVIN CARRENO AND KENNON FLEANOR, CO-TRUSTEESSOLE OWNER
CARRENO, KEVIN ANDREWTRUSTEE OF THE GORDON CHARLES CANTLEY IRREVOCABLE TRUST DTD 12-6-072047444
KEENON RICHARD FLEENORTRUSTEE OF THE GORDON CHARLES CANTLEY IRREVOCABLE TRUST DTD 12-6-07
OHAB, PAMELA CATHYFINOP2700308
PROCTOR, DARRYL LOUISCHIEF COMPLIANCE OFFICER1227476
ROLINSON, ERIC MATTHEWTRADING SUPERVISOR4898728
ROLINSON, ERIC MATTHEWFINOP4898728
ROLINSON, ERIC MATTHEWPRESIDENT/CEO4898728

Disclosures

Regulatory Event12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PARK FINANCIAL GROUP, INC.

CRD#: 30582

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