Kimberly Sparks
Director of Risk and Compliance
Kimberly (Kim) Sparks is a seasoned compliance professional bringing over fifteen years of experience leading regulatory oversight, branch audits, and supervision across the financial services industry.
Throughout her career, Kim has held leadership roles at firms including Cetera Financial Group, LPL Financial, and First Midwest Securities, among others. She has also served as Chief Compliance Officer and Anti-Money Laundering Officer, where she oversaw compliance programs, regulatory examinations, and staff development. Most recently, Kim contributed her expertise as a Supervision Principal at First Command Financial Services, where she guided advisors in risk management, client suitability, and regulatory training.
Her experience spans risk assessment, audit management, regulatory examinations, policy development, and team leadership. She holds multiple FINRA licenses, including the Series 6, 7, 9, 10, 24, 63, 66, and 99, reflecting her knowledge of investment advisory, supervisory, and compliance practices.