Unclaimed Profile

David George Sparks

HEARTWOOD INVESTMENTS, INC.·WATERLOO, Iowa

Series 3, Series 7, Series 24, Series 63, Series 66Clean record24 years registeredHEARTWOOD INVESTMENTS, INC.

216 EAST FOURTH STREET, WATERLOO, IA 50703-4702CRD# 866624Firm CRD# 145668

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David George Sparks · WATERLOO, IA

Registration

CRD #866624 · HEARTWOOD INVESTMENTS, INC. · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: HEARTWOOD INVESTMENTS, INC.

HEARTWOOD INVESTMENTS, INC.

Dec 2007 – Nov 2017

WATERLOO, IA

WELLS FARGO INVESTMENTS, LLC

May 2002 – Jul 2007

WATERLOO, IA

Registrations & Exams

FINRA examinations passed

Series 3

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · May 6, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HEARTWOOD INVESTMENTS, INC.

CRD 145668 · SEC 801-68579

AUM

$41M

Regulatory assets under management

Employees

21 client accounts

Services offered by HEARTWOOD INVESTMENTS, INC.

Per Form ADV

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at HEARTWOOD INVESTMENTS, INC. →

Introduction

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Frequently Asked Questions

What services does David George Sparks offer?

David George Sparks specializes in Investment Management, Fee-Only Advisory.

What are David George Sparks's credentials?

David George Sparks is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David George Sparks located?

David George Sparks is based in WATERLOO, Iowa, last registered with HEARTWOOD INVESTMENTS, INC..

How does David George Sparks charge for services?

David George Sparks's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HEARTWOOD INVESTMENTS, INC.?

HEARTWOOD INVESTMENTS, INC. has approximately 1 employees and manages $41M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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