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MS

Mark I. Scheinbaum

SHEARSON FINANCIAL SERVICES
Boca Raton, FL 33433
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CRD#: 1136016
MS

Professional summary


Mark Ira Scheinbaum is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 15, Series 7, Series 9, Series 10 and Series 8 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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 Mark Ira Scheinbaum'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

May 1, 1996 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Rd Suite 501, Boca Raton, FL 33433
RIA
BD
CRD#: 38619
Boca Raton, FL
Past

November 17, 1987 - May 8, 1996

FUHRMAN - MATT SECURITIES, INC.

BD
CRD#: 16597
Past

August 22, 1986 - November 20, 1987

JSC SECURITIES, INC.

BD
CRD#: 475
Past

April 9, 1986 - August 26, 1986

KORN, WOMACK, STERN AND ASSOCIATES, INC.

BD
CRD#: 16933
Past

August 8, 1984 - November 20, 1987

JSC SECURITIES, INC.

BD
CRD#: 475
Past

July 21, 1983 - August 20, 1984

RICHARDSON GREENSHIELDS SECURITIES INC.

BD
CRD#: 3178

State Registrations and Notice Filings


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

RR
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

RR
Arizona
(9/13/2024)
RR
California
(5/14/2003)
RR
Florida
(5/1/1996)
RR
Nevada
(2/24/2021)
RR
New Jersey
(7/1/1996)
RR
New Mexico
(4/30/2003)
RR
New York
(5/1/1996)
RR
South Carolina
(8/27/2019)
RR
Texas
(10/27/2008)

Exams


State Security Law Exam
RR
Series 63
Date: 7/23/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/10/1984
Foreign Currency Options Examination
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/2/1987
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm


SF
SHEARSON FINANCIAL SERVICES, LLC
DBA - LF FINANCIAL | STRATEGIC ASSET MANAGEMENT INC. | SHEARSON FINANCIAL SERVICES, LLC | LF ROTHSCHILD, LLC | LF ROTHSCHILD LLC | LF FINANCIAL, LLC | KAPLAN & COMPANY SECURITIES INC. | KAPLAN & CO. SECURITIES INC.

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)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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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
22

FINRA licenses (45 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers


NamePositionCRD#
KAPLAN, JED PHILIPCEO/FINOP/CCO1622929
GROSSMAN, STEVEN MICHAELPRESIDENT, AML OFFICER4430498
0

Disclosures


Regulatory Event8

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.

Company Information


SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619Boca Raton, FL 33433

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