James T. 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.
James Thomas Sparks JR, who also goes by James Thomas Jr Sparks, Jay Sparks, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 51, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - November 19, 2020
ELLIOTT ASSET MANAGEMENT
July 2, 2007 - March 9, 2016
FIDELITY BROKERAGE SERVICES LLC
May 16, 2007 - March 10, 2016
NATIONAL FINANCIAL SERVICES LLC
December 6, 2005 - May 16, 2007
FIDELITY BROKERAGE SERVICES LLC
May 11, 2005 - November 3, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
May 1, 2001 - July 13, 2005
FIDELITY PERSONAL TRUST COMPANY, FSB
June 16, 2000 - July 13, 2005
STRATEGIC ADVISERS LLC
June 30, 1998 - May 12, 2005
FIDELITY BROKERAGE SERVICES LLC
September 4, 1992 - January 22, 1998
OSAIC WEALTH, INC.
March 13, 1990 - September 8, 1992
FORESTERS FINANCIAL SERVICES, 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
ELLIOTT ASSET MANAGEMENT
CRD#: 283356 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 46 |
| AUM (Assets Under Management) | $ 27,628,560 |
Red Flags
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