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Maxim J Sparks

Morgan Stanley

Napa, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-08-01
CA RA APPROVED 2025-07-28
  • TX RA
    APPROVED
    Since 2025-08-01
  • CA RA
    APPROVED
    Since 2025-07-28

Branch Locations

700 Main Street Suite 315, Napa, CA 94559 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Napa CA 12/2024 Present
Hog Island Oyster Company Napa CA 07/2024 11/2024
Digitrade Ltd. Tokyo 09/2021 12/2021
Basalt Napa CA 11/2017 09/2018
Makai Swim School Napa CA 04/2017 10/2017
Unemployed N/A CA 07/1999 03/2017
Unemployed N/A CA 10/2018 08/2021
University Of California, Davis Davis CA 09/2018 08/2022
New Technology High School Napa CA 09/2014 06/2018
Urj Heller High Tzuva 09/2016 12/2016
Full-Time Student / Extended Travel Jerusalem 09/2022 06/2023
Unemployed Napa CA 07/2023 06/2024
  • 12/2024 → Present
    Morgan Stanley
    Napa, CA
  • 07/2024 → 11/2024
    Hog Island Oyster Company
    Napa, CA
  • 09/2021 → 12/2021
    Digitrade Ltd.
    Tokyo
  • 11/2017 → 09/2018
    Basalt
    Napa, CA
  • 04/2017 → 10/2017
    Makai Swim School
    Napa, CA
  • 07/1999 → 03/2017
    Unemployed
    N/A, CA
  • 10/2018 → 08/2021
    Unemployed
    N/A, CA
  • 09/2018 → 08/2022
    University Of California, Davis
    Davis, CA
  • 09/2014 → 06/2018
    New Technology High School
    Napa, CA
  • 09/2016 → 12/2016
    Urj Heller High
    Tzuva
  • 09/2022 → 06/2023
    Full-Time Student / Extended Travel
    Jerusalem
  • 07/2023 → 06/2024
    Unemployed
    Napa, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-07-28
S63 Uniform Securities Agent State Law Examination 2024-10-24
  • S65 Uniform Investment Adviser Law Examination
    2025-07-28
  • S63 Uniform Securities Agent State Law Examination
    2024-10-24

View on SEC IAPD

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ERIC FLORES GONZALES
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Katherine Engel
Wyatt Raymond Knippen
Beatriz Adriana Buenrostro
Austin P Fitzpatrick
Christopher Micco

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA

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