SPARTA WEALTH PARTNERS of CHARLOTTE, NC is an SEC-registered investment adviser (CRD 318036). Regulatory assets under management: $315.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Thompson Blair | PRESIDENT; PRESIDENT, CCO | London, X0 |
| David Blair Thompson | PRESIDENT; PRESIDENT, CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-21 | regulatory | WITHOUT ADMITTING OR DENYING THEM, COPELAND ACCEPTED AND CONSENTED TO FINRA'S FINDING THAT COPELAND REFUSED TO PROVIDE DOCUMENTS AND INFORMATION REQUESTED PURSUANT TO FINRA RULE 8210, IN VIOLATION OF FINRA RULES 8210 AND 2010. | Final | — |