Kimberly B Sparks
Investment Adviser Representative at William Joseph Capital Management, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kimberly B. Sparks is an investment adviser representative with William Joseph Capital Management, Inc. in Piedmont, SC, where they have been registered since 2025. They have worked in the securities industry since 1998 and have been registered with 7 firms, including First Command Advisory Services and Cetera Investment Advisers LLC. They have passed 8 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in South Carolina.
Registrations & licenses
- Investment adviser:
- South Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Cetera Advisor Networks LLCDec 2015 – Nov 2018El Segundo, CA
- Cetera Advisors LLCDec 2015 – Nov 2018Denver, CO
- Cetera Investment Services LLCDec 2015 – Dec 2024Saint Cloud, MN
- Cetera Financial Specialists LLCDec 2015 – Nov 2018Schaumburg, IL
- First Allied Securities, Inc.Dec 2015 – Nov 2018San Diego, CA
- Investors Capital Corp.Dec 2015 – Nov 2016Lynnfield, MA
- Legend Equities CorporationDec 2015 – Dec 2016Palm Beach Gardens, FL
- Summit Brokerage Services, Inc.Dec 2015 – Nov 2018Boca Raton, FL
- Girard Securities, Inc.Dec 2015 – Nov 2017San Diego, CA
- VSR Financial Services, Inc.Dec 2015 – Dec 2016Overland Park, KS
- Cetera Investment Advisers LLCDec 2015 – Dec 2024Atlanta, GA
- First Command Financial Services, IncMar 2025 – Jun 2025Fort Worth, TX
- UnemployedDec 2024 – Mar 2025Piedmont, SC
- UnemployedJun 2025 – Oct 2025Piedmont, SC
- William Joseph Capital Management, Inc.Oct 2025 – no end date reportedHartford, CT
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About William Joseph Capital Management, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 28
- Offices listed on AdvisorFinder:
- 9
- Main office:
- Bristol, CT
- SEC file number:
- 801-119964
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at William Joseph Capital Management, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kimberly B Sparks has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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