Joan Lee Sharp
CFP®, ChFC®Professional Summary
Joan Lee Sharp, CFP®, ChFC®, who also goes by Joan Lee Carmody, Joan Lee Sharp Gupta, is a registered financial advisor currently at RIVER FAMILY ADVISORS LLC located in Newark, Delaware. Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joan has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Financial Planning
- Estate & Legacy Planning
Specializations
Biography
We are an independent advisory firm serving individuals and families we structure process for both personal and financial decisions to ensure that money supports life and change. The Firm’s mission is to bring a new logic to family wealth planning by helping individuals and families use heart and hard data to support their individual lives and their places in the larger family system. Our goal is to assist clients in gaining vision about life and...
Other Aliases
Joan Lee Carmody, Joan Lee Sharp Gupta
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
RIVER FAMILY ADVISORS LLC
Contact Information
Main Address
Salt Lake City, UTPhone Number
(302) 383-9678# of Employees
1Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/15/2018)
(10/19/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1999About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joan Lee Sharp's CRS (Customer Relationship Summary).
Services Offered by Joan
- Financial Planning
- Estate & Legacy Planning
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