Broker Check
Sharon Evans

Sharon Evans

Compliance Officer

Sharon began her career in the financial services industry in 2001. Her love for finance really took off when she worked for Neal Creswell, her dear friend and mentor. It was then that she began pursuing her securities licenses to establish her career path in the compliance side of finance.

As our Compliance Officer, Sharon ensures compliant policies and procedures in the Firm. She keeps the Firm up to date on policy changes, manages regulatory filings, and oversees completion of all continuing education. Sharon also works closely with our clients on new account openings, distributions, and general customer service needs. Sharon maintains the following professional licenses held through LPL Financial:

  • State Securities Law Exam: Series 66 - Uniformed Combined State Law Exam
  • SIE – Securities Industry Essentials Exam
  • Series 7 – General Securities Representative Exam
  • Series 6 – Investment Company Products/Variable Contracts Representative Exam
  • Series 4 – Registered Options Principal Exam
  • Series 51 – Municipal Fund Securities Principal Exam
  • Series 24 – General Securities Principal Exam

Fun Facts About Sharon:

Originally from: Buffalo, NY

Hobbies: Spending time with family and friends, and learning the Italian language

Favorite place to visit: Italy

Favorite quote: “No act of kindness, no matter how small, is ever wasted.” --Aesop