Sharon D. Mallory

SDM INVESTMENTS

Merrillville, IN 46410

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CRD#: 2313220

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

May 16, 2006 - Present

SDM INVESTMENTS, LLC

Office #1: 6111 Harrison St. Ste. 117, Merrillville, IN 46410

RIA

CRD#: 140325

Merrillville, IN

Past

February 27, 2007 - November 30, 2007

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

June 12, 2006 - September 22, 2006

PURSHE KAPLAN STERLING INVESTMENTS

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

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/18/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 7,717,047

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.

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Sharon D. Mallory

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sharon Dianne Mallory's CRS (Customer Relationship Summary).

Certified licenses

Experience

SDM INVESTMENTS, LLC

SCF SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

SDM INVESTMENTS, LLC

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1997

Series 63

Date: 2/1/1993

Series 6

Date: 2/18/1993

Current Firm

SDM INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SDM INVESTMENTS, LLC

TRUST BUT VERIFY

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