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David Michael Sparks

Mariner

Cincinnati, OH

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-03-02
  • OH RA
    APPROVED
    Since 2021-03-02

Branch Locations

312 Walnut Street Suite 2300, Cincinnati, OH 45202 • 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
Scottrade Cincinnati OH 09/2010 03/2018
Jp Morgan Chase Bank, N.A. West Chester OH 03/2018 01/2019
Jp Morgan Securities, Llc West Chester OH 03/2018 01/2019
Scottrade Investment Management Cincinnati OH 02/2017 03/2018
Creative Planning Overland Park KS 01/2019 02/2021
Mariner Wealth Advisors Cincinnati OH 02/2021 Present
  • 09/2010 → 03/2018
    Scottrade
    Cincinnati, OH
  • 03/2018 → 01/2019
    Jp Morgan Chase Bank, N.A.
    West Chester, OH
  • 03/2018 → 01/2019
    Jp Morgan Securities, Llc
    West Chester, OH
  • 02/2017 → 03/2018
    Scottrade Investment Management
    Cincinnati, OH
  • 01/2019 → 02/2021
    Creative Planning
    Overland Park, KS
  • 02/2021 → Present
    Mariner Wealth Advisors
    Cincinnati, OH
Previous Registrations
  • 2019-01-22 → 2021-03-02
    Creative Planning
    Cincinnati, OH
    Overland Park, KS
    Wyoming, OH
  • 2018-03-21 → 2019-01-23
    J.P. Morgan Securities Llc
    West Chester, OH
  • 2017-02-07 → 2018-03-08
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-07
S63 Uniform Securities Agent State Law Examination 2011-10-28
  • S66 Uniform Combined State Law Examination
    2017-02-07
  • S63 Uniform Securities Agent State Law Examination
    2011-10-28
Designations

View on SEC IAPD

Other Firms

QUEEN CITY CAPITAL MANAGEMENT, LLC
OSAIC WEALTH, INC.
BAHL & GAYNOR LLC
BRIXEY & MEYER CAPITAL LLC
OPUS CAPITAL MANAGEMENT
FORMIDABLE ASSET MANAGEMENT, LLC
RC CAPITAL
STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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