ES
Edward F. Sparkowski
CPS FINANCIAL & INSURANCE SERVICES
IRVINE, CA 92606
Some features on this profile are disabled
CRD#: 1552668
ES
Professional summary
Edward Frank Sparkowski, CFP®, who also goes by Ed Sparkowski, is a registered financial professional currently at CPS FINANCIAL & INSURANCE SERVICES, INC. located in Irvine, California and CAPITAL SYNERGY PARTNERS located in Glastonbury, Connecticut.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1986. Edward has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed Sparkowski
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.
CRS (Client Relationship Summary) - BD
Click below to view Edward Frank Sparkowski's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 2, 2019 - Present
CPS FINANCIAL & INSURANCE SERVICES, INC.
Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606BD
CRD#: 41243
IRVINE, CA
Current
September 13, 2023 - Present
CAPITAL SYNERGY PARTNERS
Office #1: 427 Naubuc Ave., #103, Glastonbury, CT 06033RIA
BD
CRD#: 148733
Glastonbury, CT
Past
June 5, 2012 - December 31, 2018
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
March 30, 2005 - December 10, 2010
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
December 20, 2001 - April 8, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 8, 1992 - November 16, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 1, 1992 - September 2, 1992
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
March 4, 1989 - January 1, 1992
CHRIS SECURITIES INC.
BD
CRD#: 4453
Past
March 26, 1987 - September 28, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
February 9, 1987 - February 25, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
August 19, 1986 - February 27, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/2/2019)
RR
Connecticut(1/2/2019)
RR
Florida(10/17/2023)
RR
New Jersey(10/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CAPITAL SYNERGY PARTNERS
CAPITAL SYNERGY PARTNERS | CAPITAL SYNERGY PARTNERS, INC.
CRD#: 148733 / SEC#: 801-117828, 8-68060
RIA
Registered Investment Advisory firm - SEC (5/11/2020 Terminated)Arizona
Registered Investment Advisory firm - SEC (4/4/2013 Approved)Arkansas
Registered Investment Advisory firm - SEC (5/27/2011 Approved)California
Registered Investment Advisory firm - SEC (5/23/2011 Approved)Colorado
Registered Investment Advisory firm - SEC (11/5/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (7/9/2018 Approved)District of Columbia
Registered Investment Advisory firm - SEC (5/5/2011 Approved)Florida
Registered Investment Advisory firm - SEC (10/10/2017 Approved)Georgia
Registered Investment Advisory firm - SEC (4/28/2011 Approved)Idaho
Registered Investment Advisory firm - SEC (6/24/2011 Approved)Indiana
Registered Investment Advisory firm - SEC (6/24/2013 Approved)Iowa
Registered Investment Advisory firm - SEC (5/26/2011 Approved)Louisiana
Registered Investment Advisory firm - SEC (1/10/2013 Approved)Massachusetts
Registered Investment Advisory firm - SEC (9/26/2011 Approved)Michigan
Registered Investment Advisory firm - SEC (1/18/2018 Approved)Minnesota
Registered Investment Advisory firm - SEC (3/10/2015 Approved)Missouri
Registered Investment Advisory firm - SEC (8/10/2018 Approved)Montana
Registered Investment Advisory firm - SEC (12/22/2010 Approved)Nebraska
Registered Investment Advisory firm - SEC (2/24/2012 Approved)Nevada
Registered Investment Advisory firm - SEC (6/28/2012 Approved)New Jersey
Registered Investment Advisory firm - SEC (3/29/2011 Approved)North Carolina
Registered Investment Advisory firm - SEC (10/12/2011 Approved)Ohio
Registered Investment Advisory firm - SEC (1/6/2012 Approved)Oklahoma
Registered Investment Advisory firm - SEC (3/9/2018 Approved)Oregon
Registered Investment Advisory firm - SEC (6/23/2015 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/5/2012 Approved)South Carolina
Registered Investment Advisory firm - SEC (10/5/2011 Approved)Texas
Registered Investment Advisory firm - SEC (10/26/2016 Approved)Wisconsin
Registered Investment Advisory firm - SEC (8/1/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7413
Established
California since 01/14/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
21
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
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.
