Sharon Lea Du Mond
Professional Summary
Sharon Lea Du Mond, who also goes by Sharon Lea Dumond, Sherri L Dumond, Usasharon Lea Dumond, Sharon Lea James, Sharon Lea Jones, was a registered financial advisor. Sharon was a previously registered financial professional and started their career in finance 1991 - 2022. Sharon had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sharon Lea Dumond, Sherri L Dumond, Usasharon Lea Dumond, Sharon Lea James, Sharon Lea Jones
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.
Contact Information
Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117Phone Number
(763) 765-6500Established
Minnesota since 11/20/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | — |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| EBERHARD, DANIEL RICHARD | CHIEF FINANCIAL OFFICER | 8207554 |
| EBERHARD, DANIEL RICHARD | PRINCIPAL FINANCIAL OFFICER | 8207554 |
| EBERHARD, DANIEL RICHARD | PRINCIPAL OPERATIONS OFFICER | 8207554 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1991About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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