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Kimberly B. Sparks

WILLIAM JOSEPH CAPITAL MANAGEMENT

Piedmont, SC

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CRD#: 2748868

Professional summary

Kimberly B Sparks, who also goes by Kim Buchanan, Kimberly Buchanan, Kim Sparks, Kimberly Buchanan Sparks, Kimberly Sue Sparks, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Piedmont, South Carolina.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kimberly has worked at 25 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kim Buchanan | Kimberly Buchanan | Kim Sparks | Kimberly Buchanan Sparks | Kimberly Sue Sparks

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly B Sparks's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 22, 2025 - Present

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

RIA

CRD#: 226535

Piedmont, SC

Past

March 26, 2025 - July 3, 2025

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

March 26, 2025 - July 3, 2025

FIRST COMMAND BROKERAGE SERVICES, INC.

BD

CRD#: 3641

FORT WORTH, TX

Past

July 10, 2019 - January 2, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PIEDMONT, SC

Past

August 16, 2017 - November 21, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ATLANTA, GA

Past

December 22, 2015 - November 29, 2016

INVESTORS CAPITAL CORP.

BD

CRD#: 30613

ATLANTA, GA

Past

December 22, 2015 - December 31, 2016

VSR FINANCIAL SERVICES, INC.

BD

CRD#: 14503

Atlanta, GA

Past

December 22, 2015 - December 31, 2016

LEGEND EQUITIES CORPORATION

BD

CRD#: 30999

Atlanta, GA

Past

December 22, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

BD

CRD#: 18697

ATLANTA, GA

Past

December 22, 2015 - November 21, 2018

SUMMIT BROKERAGE SERVICES, INC.

BD

CRD#: 34643

ATLANTA, GA

Past

December 22, 2015 - November 21, 2018

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

ATLANTA, GA

Past

December 22, 2015 - November 21, 2018

CETERA FINANCIAL SPECIALISTS LLC

BD

CRD#: 10358

ATLANTA, GA

Past

December 22, 2015 - November 21, 2018

CETERA ADVISORS LLC

BD

CRD#: 10299

ATLANTA, GA

Past

December 22, 2015 - November 21, 2018

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

ATLANTA, GA

Past

December 22, 2015 - January 2, 2025

CETERA INVESTMENT SERVICES LLC

BD

CRD#: 15340

ATLANTA, GA

Past

October 30, 2013 - November 20, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

October 30, 2013 - November 20, 2015

LPL FINANCIAL LLC

BD

CRD#: 6413

CHARLOTTE, NC

Past

August 3, 2012 - August 6, 2013

SANDLAPPER WEALTH MANAGEMENT, LLC

RIA

CRD#: 164443

GREENVILLE, SC

Past

July 10, 2012 - August 6, 2013

SANDLAPPER SECURITIES, LLC

BD

CRD#: 137906

GREENVILLE, SC

Past

May 14, 2012 - July 9, 2012

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

BLOOMINGTON, IL

Past

August 4, 2009 - July 9, 2012

FIRST MIDWEST SECURITIES, INC.

BD

CRD#: 21786

BLOOMINGTON, IL

Past

August 19, 2008 - April 15, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

ALPHARETTA, GA

Past

May 28, 2008 - July 17, 2008

CAPITAL ONE INVESTMENT SERVICES LLC

BD

CRD#: 25658

MELVILLE, NY

Past

April 6, 2006 - June 4, 2008

CAPITAL ONE INVESTMENTS, LLC

BD

CRD#: 17526

NEW ORLEANS, LA

Past

July 19, 2001 - December 14, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ST. LOUIS, MO

Past

June 14, 2001 - July 11, 2001

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

Past

October 1, 2000 - June 4, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ST. LOUIS, MO

Past

July 1, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD

CRD#: 8112

CHARLOTTE, NC

Past

September 16, 1996 - May 9, 1997

JBS LIBERTY SECURITIES, INC.

BD

CRD#: 36179

KANNAPOLIS, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WJ

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN

CRD#: 226535 / SEC#: 801-119964

RIA

Registered Investment Advisory firm - (12/11/2020 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (10/29/2021 Terminated)

Georgia

Registered Investment Advisory firm - (12/16/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (11/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(10/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 5/2/2012

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 8/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/19/1998

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 9/5/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 10

Date: 7/24/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 7/22/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/26/2000

General Securities Principal Examination

Current Firm

WJ

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN

CRD#: 226535 / SEC#: 801-119964

RIA

Registered Investment Advisory firm - (12/11/2020 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (10/29/2021 Terminated)

Georgia

Registered Investment Advisory firm - (12/16/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (11/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

210 Red Stone Hill Road Suite 5, Bristol, CT 06010

Mailing Address

200 West Hartford Street #u, Milford, PA 18337

Phone number

(860) 973-3214

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WJCM ADV PART 2 (5/19/2025)

Regulatory assets under management

Total Number of Accounts	1,153
AUM (Assets Under Management)	$ 465,072,406

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.

Company Information

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD#: 226535Piedmont, SC

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