AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RH

Richard L. Hollan

SHEARSON FINANCIAL SERVICES
Katy, TX 77450
Some features on this profile are disabled
CRD#: 1401016
RH

Professional summary

Richard Lynn Hollan is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Katy, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 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 Richard Lynn Hollan'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

June 21, 2007 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 1800 South Mason Suite 240, Katy, TX 77450
RIA
BD
CRD#: 38619
Katy, TX
Past

October 27, 1997 - July 11, 2007

INSTITUTIONAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 41055
HOUSTON, TX
Past

March 3, 1997 - August 27, 1997

SUNCOAST CAPITAL GROUP, LTD.

BD
CRD#: 31214
FT. LAUDERDALE, FL
Past

November 9, 1995 - March 11, 1997

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

July 31, 1995 - October 24, 1995

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL
Past

August 18, 1994 - August 4, 1995

MERIDIAN SECURITIES, INC.

BD
CRD#: 16468
Past

October 16, 1990 - August 18, 1994

MARCUS, STOWELL & BEYE, INC.

BD
CRD#: 7038
FORT LAUDERDALE, FL
Past

October 16, 1990 - August 20, 1994

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19184
FORT LAUDERDALE, FL
Past

October 1, 1990 - October 24, 1990

GSC SECURITIES, INC.

BD
CRD#: 17013
Past

September 26, 1990 - October 24, 1990

GOVERNMENT SECURITIES CORPORATION

BD
CRD#: 19698
Past

July 25, 1987 - October 3, 1990

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19184
FORT LAUDERDALE, FL
Past

October 23, 1985 - October 3, 1990

MARCUS, STOWELL & BEYE, INC.

BD
CRD#: 7038
FORT LAUDERDALE, FL

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
California
(12/21/2021)
RR
Florida
(6/21/2007)
RR
Oregon
(1/19/2024)
RR
Texas
(6/21/2007)
RR
Wyoming
(6/21/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/15/1992
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/1992
General Securities Principal Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 38619Katy, TX 77450

TRUST BUT VERIFY

Monitor Richard Hollan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Troy Lynn Wootton Jr
Troy WoottonAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Sugar Land, TX
Darren Dindinger
Darren DindingerAdvisorCheck Check Mark
ALLWORTH FINANCIAL, L.P.
IAR
RR
Orting, WA
LW
Li-e WangAdvisorCheck Check Mark
TRANSAMERICA FINANCIAL ADVISORS, LLC
RR
Houston, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.