Julie W. Sparks
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.
Julie W. Sparks was a registered financial professional .
Julie is a previously registered financial professional and started their career in finance in 2007. Julie had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2011 - August 30, 2012
WOLF FINANCIAL MANAGEMENT, LLC
March 1, 2010 - February 4, 2011
PACIFIC SELECT DISTRIBUTORS, LLC
October 22, 2007 - May 12, 2009
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOLF FINANCIAL MANAGEMENT, LLC
CRD#: 44225 / SEC#: 801-66693, 8-50580
Contact information
Documents
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.
