James Thomas Sparks Jr
Professional Summary
James Thomas Sparks JR, who also goes by James Thomas Jr Sparks, Jay Sparks, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1990 - 2020. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Thomas Jr Sparks, Jay Sparks
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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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
ELLIOTT ASSET MANAGEMENT | ELLIOTT, MARK DANIEL
Contact Information
Main Address
90 Canal St 4th Fl, Boston, MA 02114Phone Number
(857) 488-8198# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
46AUM (Assets Under Management)
$27,628,560Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1990About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2001About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Feb 1991About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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