Sharon S. Faulkner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sharon Susan Faulkner, who also goes by Sharon Susan Burnett, Sharon Susan Sweet, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1983. Sharon had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
August 7, 2023 - December 31, 2023
CETERA FINANCIAL SPECIALISTS LLC
July 27, 2020 - August 9, 2023
SECURITIES AMERICA ADVISORS, INC.
July 27, 2020 - August 9, 2023
SECURITIES AMERICA, INC.
January 1, 2004 - August 3, 2020
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - August 3, 2020
VOYA FINANCIAL ADVISORS, INC.
October 8, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 1, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 17, 2000 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
November 30, 1999 - February 29, 2000
ARCHER ALEXANDER SECURITIES CORPORATION
January 12, 1989 - December 20, 1999
BIRCHTREE FINANCIAL SERVICES LLC
December 21, 1988 - January 12, 1989
BIRCHTREE FINANCIAL SERVICES LLC
August 18, 1988 - January 7, 1989
KIMMINS SECURITIES, INC.
September 22, 1983 - September 13, 1988
LOWELL H. LISTROM & COMPANY INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
