Richard Lynn Hollan
Professional Summary
Richard Lynn Hollan is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
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.
Contact Information
Main Address
7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433Mailing Address
7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433Phone Number
(561) 613-4727Established
Florida since 01/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
22FINRA licenses (45 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(12/21/2021)
(6/21/2007)
(1/19/2024)
(6/21/2007)
(6/21/2007)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Lynn Hollan's CRS (Customer Relationship Summary).
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