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Steven Sparks is a registered investment advisor, based in Hickory, NC, with 25 years of industry experience.
Location
1155 Southgate Corp Park, Hickory, NC, 28601
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Regulatory History (1)
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Customer Dispute
March 2014Closed-No Action
Other Business ActivitiesSells Insurance
Steven is an independent insurance agent for various companies through Wind River Financial DBA Capital Concepts Financial Group, dedicating nearly full-time hours to this and trading. He also serves as an advisory representative of an RIA (CIRA), taking about half his time, and is a general partner in Capital Concepts Properties, requiring minimal time.
Employment History
Current Registrations
Cambridge Investment Research, INC.
February 2016 - Present · 10 yrs 5 mos
Cambridge Investment Research Advisors, INC.
February 2016 - Present · 10 yrs 5 mos
Cambridge Investment Research, INC.Broker
February 2016 - Present · 10 yrs 5 mos
Previous Registrations
Ameritas Investment CORP
June 2006 - February 2016 · 9 yrs 8 mos
Ameritas Investment CORP.Broker
June 2006 - February 2016 · 9 yrs 8 mos
Carillon Investments, INC
December 2001 - June 2006 · 4 yrs 6 mos
Carillon Investments, INC.Broker
September 2000 - June 2006 · 5 yrs 9 mos
State Registrations15 states
CACOFLGAIAKYMSNCNJPASCTNTXVAWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.