Cara M. Sharbaugh
Cara M. Sharbaugh is a Compliance Consultant at Hardin Compliance Consulting. She has worked in the securities industry since 2008 with experience in SEC and FINRA registration, writing and developing compliance programs, and regulatory exams. She focuses on drafting policies and procedures to mitigate risk related to specific business models, performing compliance reviews and preparing annual reports to evaluate compliance programs effectiveness.
Prior to joining Hardin Compliance Consulting, LLC in 2017, Ms. Sharbaugh held various compliance positions including Chief Compliance Officer for a small investment adviser and broker-dealer. In this role, she also worked with an affiliate real estate company in their sale of private placements through the broker-dealer. She served as CCO for a start-up Registered Investment Adviser, working to ensure licensing, registration, and set up of the compliance program was adapted to fit the structure of the firm.
Ms. Sharbaugh holds her Series 7, 66 and 24 securities licenses. She graduated cum laude from John Carroll University in 2007 with a bachelor of science in Mathematics.Back to Team Page