Shaun M. Sparkman
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.
Shaun Michael Sparkman was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 1992. Shaun had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 57, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - April 17, 2019
BLUEFIN CAPITAL MANAGEMENT, LLC
March 27, 2009 - April 14, 2009
VTRADER PRO, LLC
May 19, 2006 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
November 5, 1996 - May 15, 1998
CALAMOS FINANCIAL SERVICES LLC
January 25, 1993 - November 30, 1993
RODMAN & RENSHAW INC.
August 31, 1992 - January 29, 1993
GRUNTAL & CO., L.L.C.
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
Series 55
Date: 5/30/2006
Limited Representative-Equity Trader ExamCurrent Firm
BLUEFIN CAPITAL MANAGEMENT, LLC
CRD#: 113892 / SEC#: , 8-53382
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
Red Flags
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