Frank Sparger, financial advisor Albemarle NC
63 score

Frank Sparger

CRD Number: 1877647
Current Firm: Capital Guardian Wealth Management, LLC

Frank Sparger (CRD# 1877647) is an Investment Advisor Representative working at Capital Guardian Wealth Management, LLC in Albemarle, NC and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Guardian Wealth Management, LLC Albermarle, NC Mar 2010 - Current 6
Capital Guardian, LLC Albermarle, NC Mar 2010 - Current 6
Gunnallen Financial Tampa, FL Aug 2008 - Mar 2010 1
Edward D. Jones & Company, LP Albemarle, NC May 1988 - Jul 2008 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1988
S65 NASAA Investment Advisors Law Examination Dec 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Frank S. Sparger
Phone Number: 704-705-1860
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    480
    MILLIONS
  • Total Number of Accounts
    2,080
    ACCOUNTS
  • Average Account Value
    $230,895
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
63

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