SH
Sharon K. Hallin
CETERA WEALTH SERVICES
West Des Moines, IA 50266
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CRD#: 4732419
SH
Professional summary
Sharon Kay Hallin is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in West Des Moines, Iowa.
Sharon is registered as a RR (Registered Representative) and started their career in finance in 2005. Sharon has worked at 6 firms and has passed the SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Sharon Kay Hallin'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®
NoneExperience
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 13572
West Des Moines, IA
Current
June 10, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 10358
West Des Moines, IA
Current
June 10, 2021 - Present
CETERA ADVISORS LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266Office #2: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 10299
West Des Moines, IA
Current
July 7, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1089 Jordan Creek Pkwy Suite 370, West Des Moines, IA 50266BD
CRD#: 15340
West Des Moines, IA
Past
June 10, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
W Des Moines, IA
Past
June 20, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DES MOINES, IA
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.
Exams
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340West Des Moines, IA 50266TRUST BUT VERIFY
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