Stephanie A. Reynolds

SHEARSON FINANCIAL SERVICES

Boca Raton, FL 33433

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CRD#: 1100999

Professional summary

Stephanie Ann Reynolds, who also goes by Stephanie VIncent, Stephanie Ann Young, Vincent Young, is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephanie has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephanie Vincent | Stephanie Ann Young | Vincent Young

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Ann Reynolds's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 21, 2011 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

RIA

CRD#: 38619

Boca Raton, FL

Past

December 6, 2002 - March 22, 2011

JVB FINANCIAL GROUP, LLC

CRD#: 104412

HOUSTON, TX

Past

April 22, 1991 - December 18, 2002

COASTAL SECURITIES, INC.

CRD#: 27834

HOUSTON, TX

Past

September 4, 1990 - May 21, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 19, 1989 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

CRD#: 22540

Past

April 18, 1988 - January 1, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 25, 1987 - May 4, 1988

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

April 11, 1983 - May 4, 1988

WESTCAP SECURITIES, L.P.

CRD#: 7301

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Louisiana
(3/21/2011)

Texas
(3/21/2011)

Exams

State Security Law Exam

Series 63

Date: 4/8/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619 / SEC#: 801-61866, 8-48313

RIA

Registered Investment Advisory firm - SEC (8/19/2004 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/20/2016 Approved)

Texas

Registered Investment Advisory firm - SEC (5/4/2017 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

Mailing Address

7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

Phone number

(561) 613-4727

Established

Florida since 01/01/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
KAPLAN, JED PHILIP	CEO/FINOP/CCO	1622929
GROSSMAN, STEVEN MICHAEL	PRESIDENT, AML OFFICER	4430498

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephanie A. Reynolds

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephanie Ann Reynolds's CRS (Customer Relationship Summary).

Certified licenses

Experience

JVB FINANCIAL GROUP, LLC

COASTAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

MORGAN STANLEY DW INC.

WESTCAP GOVERNMENT SECURITIES, INC.

WESTCAP SECURITIES, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/1983

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 24

Date: 2/13/2001

FINRA

Current Firm

SHEARSON FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SHEARSON FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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