Chief Compliance Officer · William Joseph Capital Management, Inc.
Kimberly B Sparks
CRD 2748868 · Named on Form ADV at one SEC-registered adviser
At a glance
William Joseph Capital Management, Inc., an SEC-registered wealth manager based in Bristol, CT with $694 million in regulatory assets, lists Kimberly B Sparks on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- William Joseph Capital Management, Inc.Chief Compliance OfficerWealth manager · Bristol, CT · $694M in regulatory assets
AtlasMembers
Kimberly’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Matthew T. SweeneyPresident, William Joseph Capital Management, Inc.
- Joseph E. GossSecretary, William Joseph Capital Management, Inc.
- Justin K. BolmgrenManaging Principal, Chief Operations Officer, William Joseph Capital Management, Inc.
- Nichole H. BolmgrenChief Financial Officer, William Joseph Capital Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kimberly’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.