Shannon T. Wardlaw

HAMILTON POINT INVESTMENT ADVISORS

Austin, TX 78701

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CRD#: 3106033

Professional summary

Shannon Thomas Wardlaw, who also goes by Shannon Jean Thomas, is a registered financial advisor currently at HAMILTON POINT INVESTMENT ADVISORS, LLC located in Austin, Texas.

Shannon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Shannon has worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon Jean Thomas

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 Shannon Thomas Wardlaw'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

November 18, 2021 - Present

HAMILTON POINT INVESTMENT ADVISORS, LLC

Office #1: 1402 San Antonio Street Suite 100, Austin, TX 78701

RIA

CRD#: 144534

Austin, TX

Past

August 28, 1998 - January 4, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

HAMILTON POINT INVESTMENT ADVISORS, LLC

CRD#: 144534 / SEC#: 801-68186

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

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

North Carolina
(11/18/2021)

IAR

Texas
(11/18/2021)

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

Series 63

Date: 1/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/17/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/27/1998

General Securities Representative Examination

Current Firm

HAMILTON POINT INVESTMENT ADVISORS, LLC

CRD#: 144534 / SEC#: 801-68186

RIA

Registered Investment Advisory firm - (8/20/2007 Approved)

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Contact information

Main Address

100 Europa Drive Suite 425, Chapel Hill, NC 27517

Mailing Address

Phone number

(919) 636-3765

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HAMILTON POINT INVESTMENT ADVISORS, LLC ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 1,065,602,758

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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Shannon T. Wardlaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Thomas Wardlaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON POINT INVESTMENT ADVISORS, LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

HAMILTON POINT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/1999

Series 3

Date: 10/17/2012

Series 7

Date: 8/27/1998

Current Firm

HAMILTON POINT INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAMILTON POINT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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