TrueAdvisor
TrueAdvisor
FS
FS

Frank Sparger

Stonex Advisors INC.
38 Years of Experience
Albemarle, NC
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Frank Sparger is a registered investment advisor at Stonex Advisors INC., based in Albemarle, NC, with 38 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 9,843 clients with $5.1B in assets under management.

Stonex Advisors INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
233 advisors
Number of Clients
9,843 clients
Average Client Portfolio
$517K average
Assets Under Management
$5.1B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$200
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees are negotiated between the client and financial advisor up to a maximum annualized rate of 2.00% for standard assets and 1.50% for annuity allocations. Subject to a minimum annual fee of $200 or 0.10%, whichever is greater ($300 for Unified Managed Accounts). American Funds F2 platform has a separate tiered schedule of 0.80% and 0.55%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

122 East Main Street, Albemarle, NC, 28128

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
January 2012
Final
Regulatory
August 2011
Final
Customer Dispute
December 2010
Denied
Customer Dispute
January 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frank is the owner of Sparger Investments, an investment-related business, dedicating full-time hours to it. He also serves as a board member for the Stanly Community College Foundation, spending minimal time on fundraising activities.

Employment History
Current Registrations
Stonex Securities INC.Broker
July 2017 - Present · 9 yrs 3 mos
Stonex Advisors INC.
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
Capital Guardian Wealth Management, LLC
April 2010 - December 2017 · 7 yrs 8 mos
Capital Guardian, LLCBroker
April 2010 - June 2017 · 7 yrs 2 mos
Gunnallen Financial, INCBroker
August 2008 - March 2010 · 1 yr 7 mos
Gunnallen Financial, INC
August 2008 - March 2010 · 1 yr 7 mos
Edward Jones
October 2006 - July 2008 · 1 yr 9 mos
Edward JonesBroker
September 1988 - July 2008 · 19 yrs 10 mos
State Registrations8 states
ALARCAFLNCPASCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Albemarle, NC →All financial advisors in North Carolina →