Sam Sparhawk

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CRD#: 431397

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.

Sam Sparhawk III, who also goes by Sam Sparhawk, was a registered financial professional .

Sam is a previously registered financial professional and started their career in finance in 1973. Sam had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Sparhawk

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2004 - July 5, 2016

CRESAP, INC.

CRD#: 25899

RADNOR, PA

Past

August 2, 1999 - June 8, 2004

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

August 5, 1992 - July 22, 1999

CUSTODIAN SECURITIES, INC.

CRD#: 30370

WAYNE, PA

Past

August 6, 1990 - August 20, 1992

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

March 31, 1978 - June 22, 1990

W.H. NEWBOLD'S SON & CO., INC.

CRD#: 7575

Past

August 7, 1973 - March 31, 1978

W. H. NEWBOLD'S SON & CO.

CRD#: 864

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".

CRESAP, INC.

CRD#: 25899 / SEC#: 801-79750, 8-42117

RIA

Registered Investment Advisory firm - SEC (6/9/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (9/15/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 5/25/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/11/1990

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/30/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 1/17/1977

Registered Principal Examination

Current Firm

CRESAP, INC.

CRD#: 25899 / SEC#: 801-79750, 8-42117

RIA

Registered Investment Advisory firm - SEC (6/9/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (9/15/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

259 N. Radnor-chester Rd. Ste. 140 Ste 140, Radnor, PA 19087

Mailing Address

259 N. Radnor-chester Rd. Ste. 140, Radnor, PA 19087

Phone number

(610) 341-1320

Established

Pennsylvania since 12/07/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CRESAP INC. ADV BROCHURE 2025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CRESAP, MARK WINFIELD III	PRESIDENT/CHIEF COMPLIANCE OFFICER	828898

Regulatory assets under management

Total Number of Accounts	595
AUM (Assets Under Management)	$ 339,016,488

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Sam Sparhawk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UST SECURITIES CORP.

CUSTODIAN SECURITIES, INC.

INVESTEC INC.

W.H. NEWBOLD'S SON & CO., INC.

W. H. NEWBOLD'S SON & CO.

Primary Firm SEC Registration

CRESAP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2005

Series 65

Date: 4/11/1990

SIE

Date: 7/5/2016

Series 1

Date: 7/30/1973

Series 40

Date: 1/17/1977

Current Firm

CRESAP, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (44 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CRESAP, INC.

TRUST BUT VERIFY

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