Hans R. Sharma

SHARMA ASSOCIATES

CONSHOHOCKEN, PA

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CRD#: 1920833

Professional summary

Hans R Sharma, CFP®, who also goes by Hans R Sharma, is a registered financial advisor currently at SHARMA ASSOCIATES, INC. located in Conshohocken, Pennsylvania and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Hans is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Hans has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hans R Sharma

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. SHARMA ASSOCIATES, INC. - 124 SCARLET DRIVE, CONSHOHOCKEN, PA, 19428; 100% OWNER & PRESIDENT SINCE 2001, REGISTERED INVESTMENT ADVISOR FIRM, 60 HRS/MONTH. 2. FIXED INSURANCE SALES - 124 SCARLET DRIVE, CONSHOHOCKEN, PA, 19428; FIXED LIFE INSURANCE SALES - TERM LIFE PRODUCTS; NON INVESTMENT RELATED; SALES REP; UNSOLICITED OR SOLICITED TERM LIFE INSURANCE; 10% OF TIME SPENT 3. HIMALAYAN HOPE CHARITABLE FOUNDATION, PUBLIC CHARITY, DIRECTOR, NO COMP, SINCE 2009, 35 TO 40/MONTH: 0 TRADING HOURS. NAME OF BUSINESS:HIMALAYAN HOPE CHARITABLE FOUNDATION, 124 SCARLET DRIVE, CONSHOHOCKEN, PA 610-828-5155. EMAIL:hanssharmacfp@gmail.com. THIS BUSINESS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:SUPPORTS EDUCATION. PROMOTION. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:FOUNDER/PRESIDENT. DUTIES:ORGANIZATION/MARKETING. APPROX # OF HOURS MONTHLY DEVOTED TO THIS ACTIVITY:15 HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:2009. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NOT COMPENSATED/VOLUNTEER WORK.

Blog Corner

CRS (Client Relationship Summary) - RIA

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Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

April 16, 2001 - Present

SHARMA ASSOCIATES, INC.

RIA

CRD#: 121347

CONSHOHOCKEN, PA

Current

November 1, 2020 - Present

INNOVATION PARTNERS LLC

Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210

RIA

CRD#: 146344

Charlotte, NC

Past

January 6, 2017 - November 2, 2020

MERCAP SECURITIES, LLC

CRD#: 156607

ATLANTA, GA

Past

October 15, 2014 - January 5, 2017

KOVACK SECURITIES INC.

CRD#: 44848

CONSHOHOCKEN, PA

Past

February 1, 2006 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

CONSHOHOCKEN, PA

Past

December 9, 2005 - February 2, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

CONSHOHOCKEN, PA

Past

December 9, 2005 - February 2, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

CONSHOHOCKEN, PA

Past

December 16, 2001 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

January 4, 1995 - December 16, 2001

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

March 2, 1994 - January 4, 1995

WORLD INVESTMENTS, LLC

CRD#: 20626

LINCROFT, NJ

Past

July 24, 1989 - December 31, 1993

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

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

California
(11/1/2020)

Indiana
(11/1/2020)

New Jersey
(11/1/2020)

New York
(11/1/2020)

North Carolina
(11/2/2020)

North Dakota
(11/1/2020)

IAR

Pennsylvania
(4/16/2001)

Pennsylvania
(11/1/2020)

Virginia
(11/1/2020)

West Virginia
(11/1/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/21/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/21/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/28/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHARMA ASSOCIATES, INC.

CRD#: 121347 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (4/16/2001 Approved)

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Contact information

Main Address

Conshohocken, PA

Mailing Address

Phone number

(610) 828-8253

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 10,380,282

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Hans R. Sharma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans R Sharma's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

MERCAP SECURITIES, LLC

KOVACK SECURITIES INC.

RESOURCE HORIZONS GROUP LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

PAN-AMERICAN FINANCIAL ADVISERS

AMERICAN CAPITAL CORPORATION

WORLD INVESTMENTS, LLC

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/1989

SIE

Date: 10/1/2018

Series 7

Date: 4/10/1995

Series 6

Date: 7/21/1989

Series 24

Date: 11/28/2006

FINRA

Current Firm

SHARMA ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHARMA ASSOCIATES, INC.

TRUST BUT VERIFY

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