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SW

Sharon T. Wales

KEEL POINT CAPITAL
Huntsville, AL 35801
Some features on this profile are disabled
CRD#: 2549454
SW

Professional summary

Sharon Torrontor Wales, who also goes by Sharon Lynn Torrontor, Sharon T Wales, is a registered financial professional currently at KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.

Sharon is registered as a RR (Registered Representative) and started their career in finance in 1995. Sharon has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sharon Lynn Torrontor | Sharon T Wales

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) - BD

Click below to view Sharon Torrontor Wales's CRS (Customer Relationship Summary).
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

August 9, 2019 - Present

KEEL POINT CAPITAL, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801
BD
CRD#: 6769
Huntsville, AL
Past

January 15, 2015 - August 14, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
HUNTSVILLE, AL
Past

November 6, 2002 - April 1, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

November 6, 2002 - December 16, 2014

OSAIC FA, INC.

BD
CRD#: 3978
HUNTSVILLE, AL
Past

February 1, 1995 - May 6, 1999

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/12/2019)
RR
Arizona
(8/12/2019)
RR
Arkansas
(8/12/2019)
RR
California
(8/12/2019)
RR
Colorado
(8/12/2019)
RR
Florida
(8/12/2019)
RR
Georgia
(8/12/2019)
RR
Illinois
(8/12/2019)
RR
Maryland
(8/12/2019)
RR
Missouri
(8/12/2019)
RR
Nebraska
(8/12/2019)
RR
North Carolina
(8/12/2019)
RR
Pennsylvania
(8/12/2019)
RR
South Carolina
(8/12/2019)
RR
Tennessee
(8/12/2019)
RR
Texas
(8/12/2019)
RR
Virginia
(12/18/2019)
RR
Washington
(8/12/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/13/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KP
KEEL POINT CAPITAL, LLC
BLUE CREEK | KPC | KEEL POINT CAPITAL, LLC | INVESTMENT & FINANCIAL SERVICES, INC. | BLUE CREEK SECURITIES, LLC | BLUE CREEK SECURITIES, INC.

CRD#: 6769 / SEC#: , 8-22990

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
100 Church Street Suite 500, Huntsville, AL 35801
Mailing Address
100 Church Street Suite 500, Huntsville, AL 35801
Phone number
(256) 704-5111
Established
Delaware since 10/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KEEL POINT PARTNERS, LLCSHAREHOLDER
BATES, MICHAEL LINDSAY J.D.COO/ OPERATIONS PROFESSIONAL5822091
BEATON, DANIEL STEWARTFINOP/CFO4240769
MAYES, ROBERT CARLCEO719831
PERRY, JAMES MICHAELCCO1189342
PERRY, JAMES MICHAELPRINCIPAL1189342
PERRY, JAMES MICHAELGENERAL SECURITIES PRINCIPAL1189342

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.

Company Information

KEEL POINT CAPITAL, LLC

CRD#: 6769Huntsville, AL 35801

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