Kimberly Sparks has been Chief Compliance Officer of William Joseph Capital Management since October 2025, is a control person of the firm and directly owns under 5% of it.
William Joseph Capital Management, Inc. is a Bristol, CT firm with $694M under management, 1,879 clients and 27 advisers across 28 offices, as of its March 2026 filing.
Kimberly Sparks’ longest registration was 5 years at Cetera Investment Advisers LLC (2019–2025). Before joining William Joseph Capital Management in 2025, Kimberly Sparks was registered through First Command Advisory Services and Cetera Investment Advisers LLC.
- – present · 1 yearPiedmont, SC · Adviser representative · Firm CRD 226535
- First Command Advisory Services– · under a yearFort Worth, TX · Adviser representative · Firm CRD 281958
- Cetera Investment Advisers LLC– · 5 yearsPiedmont, SC · Adviser representative · Firm CRD 105644
- Cetera Advisor Networks LLC– · 1 yearAtlanta, GA · Adviser representative · Firm CRD 13572
- LPL Financial LLC– · 2 yearsCharlotte, NC · Adviser representative · Firm CRD 6413
- Sandlapper Wealth Management, LLC– · 1 yearGreenville, SC · Adviser representative · Firm CRD 164443
- Fmsi Advisers– · under a yearBloomington, IL · Adviser representative · Firm CRD 21786
Investment adviser representative registrations
Kimberly Sparks is registered as an investment adviser representative in South Carolina, since October 2025.
- South CarolinaSince 22 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 May 2012 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 24 July 2000 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 22 July 2000 |
| Series 24 | General Securities Principal Examination | 26 January 2000 |
| Series 7 | General Securities Representative Examination | 19 March 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 September 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 August 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Kimberly B Sparks
- CRD
- 2748868
- Firm
- William Joseph Capital Management · CRD 226535
- Role
- Chief Compliance Officer
- Office
- Piedmont, SC
- Registration
- Investment adviser registration
- In the industry since
- June 1998
- Disciplinary history
- Not yet shown here · SEC record
Where does Kimberly Sparks work?
Kimberly Sparks has been Chief Compliance Officer of William Joseph Capital Management, Inc. since October 2025, and is a control person of the firm.
Is Kimberly Sparks a financial advisor?
Yes. Kimberly Sparks has a current investment-adviser registration in South Carolina, through William Joseph Capital Management since October 2025.
How many years of experience does Kimberly Sparks have?
Kimberly Sparks has 28 years in the financial industry, since June 1998, across 7 adviser firms.
What exams has Kimberly Sparks passed?
Kimberly Sparks has passed 7 licensing exams: the Series 63, Series 6, Series 7, Series 24, Series 9, Series 10 and Series 66. The earliest, the Series 63, was passed in August 1996. FINRA credited Kimberly Sparks with the SIE, which began in October 2018.
Where did Kimberly Sparks work before William Joseph Capital Management?
Before William Joseph Capital Management, Kimberly Sparks was registered through First Command Advisory Services, March 2025 to July 2025; Cetera Investment Advisers LLC, July 2019 to January 2025; Cetera Advisor Networks LLC, August 2017 to November 2018; LPL Financial LLC, October 2013 to November 2015; Sandlapper Wealth Management, LLC, August 2012 to August 2013; Fmsi Advisers, May 2012 to July 2012.
Where is Kimberly Sparks based?
Kimberly Sparks’ registered office is in Piedmont, SC.
Is Kimberly Sparks registered with FINRA?
No. Kimberly Sparks has no current broker registration.
How can I verify Kimberly Sparks’ record?
Search CRD 2748868 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kimberly Sparks’ full registration record.
