Paul D. Sparks
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.
Paul Daniel Sparks was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2018 - February 14, 2020
CLINGER & CO., INC.
October 7, 2013 - September 20, 2016
CLINGER & CO., INC.
February 3, 2011 - October 18, 2011
HUCKIN FINANCIAL GROUP, INC.
May 16, 2007 - April 17, 2009
PACIFIC CORNERSTONE CAPITAL INCORPORATED
December 14, 2000 - May 18, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 12, 1995 - June 24, 1999
INVESCO CAPITAL MARKETS, INC.
July 25, 1988 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
July 25, 1988 - January 12, 1995
AMERICAN CAPITAL MARKETING, 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
CLINGER & CO., INC.
CRD#: 1471 / SEC#: , 8-12823
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLINGER, NORMAN EDMUND | PRESIDENT/POO/PFO/CCO | 48837 |
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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