Daniel Sparta is a CFP-designated registered investment advisor, based in Austin, TX, with 20 years of industry experience.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Daniel sells fixed insurance products through Axial Financial Group, also known as The Axial Company. This activity is investment-related.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
October 2025 - Present · 7 mos
Kestra Advisory Services, LLC
October 2025 - Present · 7 mos
Previous Registrations
Commonwealth Financial Network
March 2010 - October 2025 · 15 yrs 7 mos
Commonwealth Financial NetworkBroker
March 2010 - October 2025 · 15 yrs 7 mos
TD Wealth Management Services INC.Broker
November 2009 - February 2010 · 3 mos
TD Wealth Management Services INC.
November 2009 - February 2010 · 3 mos
Primevest Financial Services, INC.
June 2006 - November 2009 · 3 yrs 5 mos
Bancnorth Investment Group, INC.Broker
February 2006 - November 2009 · 3 yrs 9 mos
State Registrations26 states
AZCACTDCDEFLILINMAMDMEMIMONCNHNVNYOHOKPARITNTXVAVTWA
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.