SS
Steven L. Sparks
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Hickory, NC
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CRD#: 4252472
SS
Professional summary
Steven Lemuel Sparks is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Hickory, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Hickory, North Carolina.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) WIND RIVER FINANCIAL DBA CAPITAL CONCEPTS FINANCIAL GROUP, 1155 SOUTHGATE CORP PARK SW, HICKORY, NC, 10/2000, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR, 200 HR/MO, 160 HR/MO TRADING 2) HICKORY CHRISTIAN ACADEMY, 3260 6TH ST DR NW, HICKORY, NC, 07/2014, BOARD MEMBER, NIR, 1 HR/WK, 0/TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 02/2016, AS ADVISORY REP OF AN RIA, INV REL, 80 HR/MO, 60 HR/MO TRADING. 4) CAPITAL CONCEPTS PROPERTIES, 1155 SOUTHGATE CORP PARK SW, HICKORY. NC. 10/2020, GENERAL PARTNER, PROPERTY, NIR, 5 HR/YR, 0 HR/YR TRADING. 5) AMERITAS, 1155 SOUTHGATE CORP PARK SW. HICKORY. NC, 02/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 1 HR/MO. 1 HR/MO TRADING/
CRS (Client Relationship Summary) - RIA
Click below to view Steven Lemuel 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®
NoneExperience
Current
February 1, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1155 Southgate Corp Park, Hickory, NC 28601RIA
CRD#: 134139
Hickory, NC
Current
February 1, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1155 Southgate Corp Park, Hickory, NC 28601BD
CRD#: 39543
Hickory, NC
Past
June 30, 2006 - February 8, 2016
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
HICKORY, NC
Past
June 30, 2006 - February 8, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
HICKORY, NC
Past
December 31, 2001 - June 30, 2006
CARILLON INVESTMENTS, INC.
RIA
CRD#: 14646
HICKORY, NC
Past
September 25, 2000 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
HICKORY, 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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(9/2/2025)
RR
Georgia(2/5/2016)
RR
Iowa(5/23/2016)
RR
Mississippi(5/25/2016)
RR
New Jersey(5/28/2024)
RR
North Carolina(2/1/2016)
IAR
North Carolina(3/11/2016)
RR
Pennsylvania(2/1/2016)
RR
South Carolina(2/1/2016)
RR
Tennessee(2/1/2016)
RR
Texas(9/2/2025)
RR
Virginia(2/1/2016)
RR
Wyoming(2/1/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
