Phillip R. Sparks

MORGAN KENWOOD ADVISORS

GREENDALE, WI 53129

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CRD#: 4135642

Professional summary

Phillip Richard Sparks, ChFC®, who also goes by Phillip Sparks, is a registered financial advisor currently at MORGAN KENWOOD ADVISORS, LLC located in Greendale, Wisconsin.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Phillip has worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip 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 Phillip Richard Sparks's 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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 21, 2015 - Present

MORGAN KENWOOD ADVISORS, LLC

Office #1: 5130 W. Loomis Road, Greendale, WI 53129

RIA

CRD#: 128322

GREENDALE, WI

Past

January 3, 2007 - July 31, 2008

CENTAURUS FINANCIAL, INC.

CRD#: 30833

GREENDALE, WI

Past

December 1, 2006 - December 31, 2006

QUESTAR CAPITAL CORPORATION

CRD#: 43100

BIG BEND, WI

Past

August 26, 2003 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

BIG BEND, WI

Past

October 25, 2001 - June 27, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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

Wisconsin
(3/21/2015)

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

IAR

Series 66

Date: 9/17/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/24/2001

General Securities Representative Examination

Current Firm

MORGAN KENWOOD ADVISORS, LLC

CRD#: 128322 / SEC#: 801-66997

RIA

Registered Investment Advisory firm - (3/4/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/1/2010 Approved)

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

5130 West Loomis Road, Greendale, WI 53129-1424

Mailing Address

Phone number

(414) 423-4020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	674
AUM (Assets Under Management)	$ 96,700,955

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.

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Phillip R. Sparks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Richard Sparks's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN KENWOOD ADVISORS, LLC

CENTAURUS FINANCIAL, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

SECURITIES AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2004

Series 7

Date: 10/24/2001

Current Firm

MORGAN KENWOOD ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MORGAN KENWOOD ADVISORS, LLC

TRUST BUT VERIFY

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