Profile
Ms. Kim B.
Sparks is Chief Compliance Officer at First Midwest Securities, Inc.
Prior to joining First Midwest Securities in August 2009, Ms. Sparks worked at Ameriprise Financial Services, Inc. as a Field Compliance Supervisor from July 2008-April 2009.
Ms. Sparks also was an Assistant Vice President at Capital One Investments from April 2006-July 2008.
Before that, she was employed by Wachovia Securities as Operations Manager, from May 1997-Dcember 2005.
Former positions of Kim B. Sparks
| Companies | Position | End |
|---|---|---|
Ameriprise Financial Services LLC
 Ameriprise Financial Services LLC Investment Banks/BrokersFinance Ameriprise Financial Services LLC (AFS) is a registered broker-dealer headquartered in Minneapolis, Minnesota. The firm was founded in 1971 and is a subsidiary of AMPF Holding Corp., which is owned by Ameriprise Financial, Inc. (NYSE: AMP). AFS offers brokerage services that enable clients to invest in many different types of investments including mutual funds, stocks, bonds, exchange traded products, unit investment trusts, annuities and alternative investments. | Corporate Officer/Principal | 31/03/2009 |
| Wachovia Securities, Inc. | Corporate Officer/Principal | 30/11/2005 |
First Midwest Securities, Inc.
 First Midwest Securities, Inc. Investment Banks/BrokersFinance Founded in 1989, First Midwest Securities, Inc. is a broker/dealer headquartered in Bloomington, Illinois. The firm is a subsidiary of Affiliated Advisors Group, Inc. Their ultimate parent is American International Group, Inc. (NYSE: AIG). They provide an array of trading and execution services for their clients. First Midwest Securities does not provide any internal research. | Corporate Officer/Principal | - |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 3 |
|---|---|
First Midwest Securities, Inc.
First Midwest Securities, Inc. Investment Banks/BrokersFinance Founded in 1989, First Midwest Securities, Inc. is a broker/dealer headquartered in Bloomington, Illinois. The firm is a subsidiary of Affiliated Advisors Group, Inc. Their ultimate parent is American International Group, Inc. (NYSE: AIG). They provide an array of trading and execution services for their clients. First Midwest Securities does not provide any internal research. | Finance |
Ameriprise Financial Services LLC
Ameriprise Financial Services LLC Investment Banks/BrokersFinance Ameriprise Financial Services LLC (AFS) is a registered broker-dealer headquartered in Minneapolis, Minnesota. The firm was founded in 1971 and is a subsidiary of AMPF Holding Corp., which is owned by Ameriprise Financial, Inc. (NYSE: AMP). AFS offers brokerage services that enable clients to invest in many different types of investments including mutual funds, stocks, bonds, exchange traded products, unit investment trusts, annuities and alternative investments. | Finance |
| Wachovia Securities, Inc. | Finance |
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