SPARK FINANCIAL ADVISORS, LLC of RICHMOND, VA is an SEC-registered investment adviser (CRD 296914). Regulatory assets under management: $147.1M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Lauren Kathleen Zangardi Haynes | PRINCIPAL AND CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-17 | regulatory | SFA VIOLATED SECTION 301(C) OF THE 1972 ACT, 70 P.S. § L-30L(C) BY TRANSACTING BUSINESS IN PA WITHOUT BEING REGISTERED OR EXEMPT FROM REGISTRATION. | Final | $9K |
| 2024-04-17 | regulatory | SFA VIOLATED SECTION 301(C) OF THE 1972 ACT, 70 P.S. ? L-30L(C) BY TRANSACTING BUSINESS IN PA WITHOUT BEING REGISTERED OR EXEMPT FROM REGISTRATION. | Final | $9K |