Sharon L. Abbey
Professional summary
Sharon Lynn Abbey, who also goes by Sharon Abbey, Sharon Lynn Sarnowski, Sharon Lynn Sarnowski, is a registered financial advisor currently at XML FINANCIAL GROUP located in Breckenridge, Colorado and XML SECURITIES located in Breckenridge, Colorado.
Sharon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sharon has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sharon Lynn Abbey's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2019 - Present
XML FINANCIAL GROUP
Office #1: 311 S. Main St, Unit G, Breckenridge, CO 80424June 17, 2008 - Present
XML SECURITIES
Office #1: 311 S. Main St, Unit G, Breckenridge, CO 80424January 4, 2008 - February 1, 2019
XML SECURITIES
May 1, 2007 - December 31, 2007
LARA, SHULL & MAY, LTD
May 19, 2005 - June 18, 2008
LARA, SHULL & MAY, LTD
April 1, 2004 - February 22, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 5, 2003 - March 31, 2004
LPL FINANCIAL LLC
August 13, 2001 - November 24, 2003
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/21/2018)
(3/19/2018)
(9/27/2023)
(11/29/2017)
(6/27/2008)
(2/1/2019)
(10/24/2018)
(1/9/2015)
(1/18/2019)
(10/24/2018)
(7/30/2015)
(1/11/2022)
(11/26/2018)
(1/3/2019)
(11/7/2018)
(7/25/2018)
(8/24/2021)
(1/3/2019)
(8/25/2023)
(1/8/2015)
(10/25/2018)
(11/15/2021)
(1/3/2019)
(7/25/2022)
(1/3/2020)
(1/6/2020)
(4/25/2018)
(6/28/2021)
(1/3/2019)
(6/23/2008)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 2,993,236,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/19/2024 | ||
| 07/19/2023 | ||
| 11/21/2022 |
Red Flags
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Company Information
XML FINANCIAL GROUP
CRD#: 284987Breckenridge, CO 80424TRUST BUT VERIFY
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