Sharon D. Hallax
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 D Hallax, who also goes by Sharon Dianne Diehl, Sharon Diehl Hallax, Sharon Dianne Reiser, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1993. Sharon had worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 28, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2021 - June 30, 2025
GROVE POINT INVESTMENTS, LLC
April 23, 2018 - March 3, 2020
GROVE POINT INVESTMENTS, LLC
January 6, 2012 - March 20, 2018
INVEST FINANCIAL CORPORATION
December 14, 2011 - January 19, 2012
WORLD GROUP SECURITIES, INC.
November 5, 2008 - December 21, 2009
J.P. TURNER & COMPANY, L.L.C.
March 5, 2004 - November 7, 2008
FIRST FOUNDERS SECURITIES, INC.
September 18, 2002 - April 21, 2004
STONEX SECURITIES INC.
April 8, 2002 - October 3, 2002
CAPWEST SECURITIES, INC.
June 6, 1994 - March 18, 2002
WMA SECURITIES, INC.
May 3, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/21/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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