SM
Sharon D. Mallory
SDM INVESTMENTS
Merrillville, IN 46410
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CRD#: 2313220
SM
Professional summary
Sharon Dianne Mallory is a registered financial advisor currently at SDM INVESTMENTS, LLC located in Merrillville, Indiana.
Sharon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Sharon has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) VARIOUS INSURANCE CARRIERS, HOBART IN, INSURANCE SALES AGENT, START DATE: JAN 1993. 2)REHAB CARE, EAST CHICAGO IN, PHYSCIAL THERAPY, THERAPIST, NOT INVES-RELATED, START DATE: APR 2002, 6-15 HR P/M, 0 HOURS DURING SECURITIES TRADING HRS, WEEKEND THERAPY POSITION.DUTIES-PATIENT RENDERED THERAPY. LOCATION-ST. MARY'S HOSPITAL, HOBART IN 46342. 3)SDM INVESTMENTS, RIA, INVEST-RELATED. 6111 HARRISON ST, #307, MERRIVILLE IN 46410. POSITION-MANAGING MEMBER, START-5/06, APPROX. 40HR/WK-DURING TRADING HOURS; GEM CAP - DEBT ELIMINATION PROGRAM - BI-WEEKLY - SALES - INDEPENDENT CONTRACTOR; THE NIA GROUP - FINANCIAL LITERARY GROUP - OVERSEE GENERAL OPERATIONS;INDEPENDENT INS AGENT REPRESENTING ANTHEM BLUE CROSS/BLUE SHIELD - HEALTH INS, UNITED INVESTORS - TERM/WHOLE LIFE, GE - LTC INS, UNICARE - HEALTH;
CRS (Client Relationship Summary) - RIA
Click below to view Sharon Dianne Mallory's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 16, 2006 - Present
SDM INVESTMENTS, LLC
Office #1: 6111 Harrison St. Ste. 117, Merrillville, IN 46410RIA
CRD#: 140325
Merrillville, IN
Past
February 27, 2007 - November 30, 2007
SCF SECURITIES, INC.
BD
CRD#: 47275
SAN DIEGO, CA
Past
June 12, 2006 - September 22, 2006
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
MERRIVILLE, IN
Past
May 16, 2006 - December 31, 2015
SDM INVESTMENTS, LLC
RIA
CRD#: 140325
MERRILLVILLE, IN
Past
January 23, 1998 - May 23, 2006
WADDELL & REED
RIA
CRD#: 866
ORLAND PARK, IL
Past
February 22, 1993 - May 23, 2006
WADDELL & REED
BD
CRD#: 866
ORLAND PARK, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(5/16/2006)
IAR
Indiana(1/28/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SI
SDM INVESTMENTS, LLC
SDM INVESTMENTS, LLC
CRD#: 140325 / SEC#:
District of Columbia
Registered Investment Advisory firm - (12/31/2015 Failure to Renew)Georgia
Registered Investment Advisory firm - (12/31/2015 Failure to Renew)Illinois
Registered Investment Advisory firm - (5/10/2006 Approved)Indiana
Registered Investment Advisory firm - (1/28/2016 Approved)Maryland
Registered Investment Advisory firm - (8/19/2011 Terminated)Nevada
Registered Investment Advisory firm - (1/6/2014 Terminated)Ohio
Registered Investment Advisory firm - (2/1/2011 Terminated)Virginia
Registered Investment Advisory firm - (12/5/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6111 Harrison St. Ste. 117, Merrillville, IN 46410
Mailing Address
6111 Harrison St. Suite 117, Merrillville, IN 46410
Phone number
(888) 988-0858
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 7,717,047 |
Red Flags
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Company Information
SDM INVESTMENTS, LLC
CRD#: 140325Merrillville, IN 46410TRUST BUT VERIFY
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