Joan L. Sharp

RIVER FAMILY ADVISORS LLC

Newark, DE 19713

Some features on this profile are disabled

CRD#: 4057582

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.

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 family purpose, and help them determine how to use human, family, and financial resources to make confident choices without regret

Question & Answer

What are your service offerings?

Life Transitions

Comprehensive Financial Planni...

Estate Planning

Do you have an area of expertise or specialization?

Baby Boomers

Charitable Giving

Estate & Generational Planning...

Financial Psychology/Coaching

Fixed Fee (Subscription, Retai...

Generation X

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Joan Lee Carmody | Joan Lee Sharp Gupta

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). Serves as an unpaid member of a family office committee that is listed as a managing member of HRS Office Committee LLC, an entity that manages a family property. Joan spends less than 5% of her time in this capacity. 2). Life Strategies, LLC, President; 04/2003 to present; Joan provides coaching to other life coaches and spends approx. 5 hours/month; Non-Investment Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Lee Sharp'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®

CFP^®

Certified Financial Planner

Start date: 2003

ChFC^®

Chartered Financial Consultant

Experience

Current

November 15, 2018 - Present

RIVER FAMILY ADVISORS LLC

Office #1: Regus Office Community Manager 200 Continental Drive, Suite 401, Newark, DE 19713Office #2: The Mill Wilmington - Nemours Building 1007 North Orange Street 4th Floor, Wilmington, DE, 19801

RIA

CRD#: 298285

Newark, DE

Past

October 6, 2015 - November 27, 2018

GLENAYR FAMILY ADVISORS LLC

RIA

CRD#: 171664

WILMINGTON, DE

Past

May 23, 2003 - October 3, 2014

LIFE STRATEGIES, LLC

RIA

CRD#: 126760

NEW CASTLE, DE

Past

April 21, 2003 - April 29, 2003

NEWEDGE SECURITIES, LLC

CRD#: 10674

PITTSBURGH, PA

Past

February 12, 2003 - April 29, 2003

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

GREENVILLE, DE

Past

October 28, 1999 - June 4, 2001

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

WILMINGTON, DE

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

Delaware
(11/15/2018)

IAR

Utah
(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

State Security Law Exam

IAR

Series 65

Date: 1/23/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/27/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RIVER FAMILY ADVISORS LLC

CRD#: 298285 / SEC#:

Delaware

Registered Investment Advisory firm - (11/15/2018 Approved)

Utah

Registered Investment Advisory firm - (10/19/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Salt Lake City, UT

Mailing Address

Phone number

(302) 383-9678

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Lawrence Springer

OSAIC WEALTH, INC.

IAR

Hockessin, DE

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joan L. Sharp

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Lee Sharp's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVER FAMILY ADVISORS LLC

GLENAYR FAMILY ADVISORS LLC

LIFE STRATEGIES, LLC

NEWEDGE SECURITIES, LLC

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

WILMINGTON BROKERAGE SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/2002

Series 63

Date: 11/10/1999

Series 6

Date: 10/27/1999

Current Firm

RIVER FAMILY ADVISORS LLC

Contact information

Documents

Red Flags

Company Information

RIVER FAMILY ADVISORS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors