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Mark Stephen Sparhawk

CFP®
CRD# 1550276·Registered 1986 - 2011
Previously Registered: Being a previously registered professional could mean that Mark 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.

Professional Summary

Mark Stephen Sparhawk, CFP® was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 1986 - 2011. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial PlannerSince 1994

Years of Experience

40 years in the financial services industry

Current & Past Employments

SPARHAWK ASSET MANAGEMENT·CRD# 128541
RIA
Worcester, MA
January 23, 2004 - December 31, 2011
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
RIA
Auburn, MA
January 1, 1996 - August 9, 2023
COMMONWEALTH FINANCIAL NETWORK·CRD# 8032
BD
Auburn, MA
May 30, 1995 - August 9, 2023
FISCO EQUITY, INC.·CRD# 24067
BD
December 1, 1992 - June 23, 1995
FISCO EQUITY, INC.·CRD# 24067
BD
Lincoln, RI
March 25, 1992 - June 23, 1995
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Glen Allen, VA
September 27, 1989 - March 5, 1992
EQUITIES INTERNATIONAL SECURITIES, INC.·CRD# 8663
BD
February 9, 1987 - August 23, 1988
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
October 3, 1986 - February 18, 1987

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Current Firm

No current employment

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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.

1. Fixed insurance sales, as of 10/1990, 1 hour per week, conducted at the branch, investment-related. 2. Co-Owner, Lagoon Estates of Oak Hill, LLC an entity created for the purpose of buying and managing commercial real estate in Oak Hill, FL, as of 08/10/2009; 0% of time spent during business hours; Not Conducted at branch; Investment related. 3. Sparhawk Asset Management; president and owner; entity created for securities business; 100% of time spent during business hours, conducted at branch, investment related. 4. Sparhawk Realty, LLC, member of family real estate company, as of 10/04/2012, 0% of time spent during business hours, not at branch, non-investment related. 5. Part owner of Tower Boyz, LLC, entity that buys communication towers and then rents them to telecommunication carriers, as of 03/01/2016, 1% of time spent during business hours, Not investment related and not conducted at branch location. Ownership is through Sparhawk Realty, LLC. 6. Co-Owner, Two Hawks LLC, an entity created for the purpose of Buying and managing residential real estate at 3 Jerome Avenue, Auburn, MA 01501, as of 09/21/2017; Approximately 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1988About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1986About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Sep 1992About the Series 26 exam

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CRS (Client Relationship Summary)

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

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