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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Carolyn Lee Sharp

Advisor at ADVICE AND PLANNING SERVICES

Bellefonte, PA | STATE COLLEGE, PA

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Search this name across graphsid dfx:ria:dc93d5d8-b3e0-1140-b7f5-77c91ea5c4cb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 9, 2012 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVICE AND PLANNING SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 8, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 8, 2011
First registration: May 9, 2012
Dual registered: yes, broker-dealer
Other names: CAROLYN SAXION-SHARP|CAROLYN ^ SAXION|CAROLYN ^ SHARP|CAROLYN SAXION-SHARP|CAROLYN SAXION SHARP|CAROLYN SHARP
IAPD individual key: 4748641

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 14, 2025	n/a	yes	STATE COLLEGE, PA\|Bellefonte, PA	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Oct 3, 2016	Apr 27, 2017	no	SEVEN FIELDS, PA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 29, 2016	Apr 8, 2016	no	SEVEN FIELDS, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 19, 2012	Dec 17, 2015	no	STATE COLLEGE, PA\|STATE COLLEGE, PA\|LITTLE FALLS, NJ\|STATE COLLEGE, PA\|SCRANTON, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 9, 2012	Aug 15, 2012	no	STATE COLLEGE, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VALIC FINANCIAL ADVISORS, INC.	ADVICE AND PLANNING SERVICES	Apr 27, 2017	Jul 14, 2025	3,000	Firm change after gap	Other
PNC WEALTH MANAGEMENT	VALIC FINANCIAL ADVISORS, INC.	Dec 17, 2015	Mar 29, 2016	103	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PNC WEALTH MANAGEMENT	Aug 15, 2012	Sep 19, 2012	35	Firm change	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Jul 14, 2025 to presentfactForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 3, 2016 to Apr 27, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 19, 2012 to Dec 17, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 9, 2012 to Aug 15, 2012factForm ADV

Dated events

No dated event names this entity yet.