Sharon A. Haley

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CRD#: 2516282

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 Ann Haley, AIF®, who also goes by Sharon Ann Graulich, was a registered financial professional .

Sharon is a previously registered financial professional and started their career in finance in 1994. Sharon had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sharon Ann Graulich

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) NAME OF OTHER BUSINESS: CARROLL ENTERPRISES INC DBA STERLINGBRIDGE INSURANCE AGENCY INC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE BUSINESS ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: COMPLIANCE MANAGER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE ; (2) NAME OF OTHER BUSINESS: CARROLL ENTERPRISES INC DBA SMALL BUSINESS INSURANCE AGENCY, INC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE ; START DATE: 09/2019 ; POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE ADMINISTRATION ;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WORCESTER, MA

Past

February 21, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WORCESTER, MA

Past

September 7, 2018 - December 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WORCESTER, MA

Past

September 2, 2014 - August 13, 2018

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

September 3, 2013 - August 25, 2014

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WORCESTER, MA

Past

September 15, 2006 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

WORCESTER, MA

Past

April 28, 2006 - August 23, 2006

PARKLAND SECURITIES, LLC

CRD#: 115368

LEICESTER, MA

Past

November 1, 1994 - August 20, 2004

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 2/20/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/19/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2006

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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 A. Haley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

PARKLAND SECURITIES, LLC

AMUNDI DISTRIBUTOR US, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2019

Series 63

Date: 11/7/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/3/2002

Series 6

Date: 10/31/1994

Series 53

Date: 12/19/2007

Series 24

Date: 12/11/2006

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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