DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Hari Sharma
Feed of 09/15/2026
Also filed as Hari Ram Sharma
At current firm
9 y
since Jan 4, 2017
In the industry
24 y
since Aug 15, 2002 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Santander Securities BD affiliated currentsince Jan 4, 2017 · Mercerville, Nj
- Citizens Securities, Inc. BD affiliatedJun 18, 2014 to Dec 20, 2016 · Philadelphia, Pa
- Santander Securities BD affiliatedSep 19, 2012 to Jun 17, 2014 · Hamilton, Nj
- LPL Financial LLC BD affiliatedJul 8, 2011 to Sep 19, 2012 · Hamilton, Nj
- Pnc Wealth Management BD affiliatedApr 7, 2011 to Jul 7, 2011 · New Brunswick, Nj
- LPL Financial LLC BD affiliatedApr 23, 2010 to Apr 19, 2011 · Ewing, Nj
- Wells Fargo Advisors wirehouseDec 6, 2006 to Apr 13, 2010 · Bridgewater, Nj
- Pnc Wealth Management BD affiliatedMar 17, 2004 to Nov 30, 2006 · Raritan, Nj
- Quick & Reilly, Inc. unclassifiedSep 9, 2002 to Mar 17, 2004 · Bridgewater, Nj
Moves
a registration end followed by a registration begin elsewhere
- Citizens Securities, Inc. to Santander Securitiesleft Dec 20, 2016, registered Jan 4, 2017 (15 days) · Other
- Santander Securities to Citizens Securities, Inc.left Jun 17, 2014, registered Jun 18, 2014 (1 days) · Other
- LPL Financial LLC to Santander Securitiesleft Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- Pnc Wealth Management to LPL Financial LLCleft Jul 7, 2011, registered Jul 8, 2011 (1 days) · Other
- LPL Financial LLC to Pnc Wealth Managementleft Apr 19, 2011, registered Apr 7, 2011 (-12 days) · Other
- Wells Fargo Advisors to LPL Financial LLCleft Apr 13, 2010, registered Apr 23, 2010 (10 days) · Other
- Pnc Wealth Management to Wells Fargo Advisorsleft Nov 30, 2006, registered Dec 6, 2006 (6 days) · Other
- Quick & Reilly, Inc. to Pnc Wealth Managementleft Mar 17, 2004, registered Mar 17, 2004 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address