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Marcelo W. Buenaventura

Some features on this profile are disabled
CRD#: 1486873
MB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marcelo Wilmer Buenaventura, who also goes by Marcello Buenaventura, was a registered financial professional .

Marcelo is a previously registered financial professional and started their career in finance in 1989. Marcelo had worked at 15 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marcello Buenaventura

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 15, 2013 - January 15, 2014

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BOCA RATON, FL
Past

November 26, 2012 - April 24, 2013

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

February 22, 2010 - December 16, 2010

ARGENTUS SECURITIES, LLC

BD
CRD#: 45915
LAS VEGAS, NV
Past

June 14, 2007 - January 30, 2008

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
BOCA RATON, FL
Past

February 27, 2006 - June 7, 2007

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

November 19, 2004 - May 3, 2006

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

November 20, 2003 - November 18, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 27, 2003 - October 31, 2003

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

May 10, 2001 - August 24, 2001

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

August 20, 1997 - December 4, 2000

RURAL SECURITIES, INC.

BD
CRD#: 39294
MIAMI, FL
Past

December 18, 1996 - January 24, 1997

INTERCREDIT CAPITAL MARKETS, INC.

BD
CRD#: 39344
Past

May 23, 1996 - December 6, 1996

CLARK MELVIN SECURITIES CORPORATION

BD
CRD#: 1462
HATO REY, PR
Past

September 29, 1995 - October 24, 1995

LOP CAPITAL MARKETS, INC.

BD
CRD#: 29726
BOCA RATON, FL
Past

March 13, 1991 - October 24, 1995

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL
Past

March 26, 1990 - January 4, 1991

MARCUS, STOWELL & BEYE, INC.

BD
CRD#: 7038
FORT LAUDERDALE, FL
Past

March 26, 1990 - January 4, 1991

MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19184
FORT LAUDERDALE, FL
Past

August 22, 1989 - March 6, 1990

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination

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#: 38619

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