Jed P. Kaplan

SHEARSON FINANCIAL SERVICES

Boca Raton, FL 33433

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CRD#: 1622929

Professional summary

Jed Philip Kaplan is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Jed is registered as a RR (Registered Representative) and started their career in finance in 1987. Jed has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 28, Series 24, Series 4, Series 53 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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 Jed Philip Kaplan'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

September 15, 1995 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Rd Suite 501, Boca Raton, FL 33433Office #2: 7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

RIA

CRD#: 38619

Boca Raton, FL

Past

June 24, 1993 - November 2, 1994

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

CRD#: 824

NEW YORK, NY

Past

February 28, 1992 - May 4, 1993

JPMSI

CRD#: 15733

NEW YORK, NY

Past

April 1, 1989 - March 13, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 24, 1987 - December 21, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

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

California
(6/29/2004)

Colorado
(5/16/2001)

Connecticut
(6/24/1996)

District of Columbia
(7/7/2004)

Florida
(9/15/1995)

Massachusetts
(3/31/1999)

Michigan
(4/5/2010)

Mississippi
(10/8/2002)

New Jersey
(7/28/2004)

New York
(9/13/1995)

Ohio
(2/4/2013)

Pennsylvania
(2/22/2010)

South Dakota
(8/27/2018)

Texas
(12/7/2011)

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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Jed P. Kaplan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jed Philip Kaplan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

JPMSI

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1988

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 11/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

Series 28

Date: 1/2/2023

Series 24

Date: 1/27/2011

Series 4

Date: 1/8/2004

Series 53

Date: 10/20/1995

Series 27

Date: 7/20/1995

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

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