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FN

Franklin Eugene Nedry

CRD# 1677029·Registered 1987 - 2015
Previously Registered: Being a previously registered professional could mean that Franklin 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.

Professional Summary

Franklin Eugene Nedry, who also goes by Bud Nedry, Franklin E Nedry, was a registered financial advisor. Franklin was a previously registered financial professional and started their career in finance 1987 - 2015. Franklin had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bud Nedry, Franklin E Nedry

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

SHEARSON FINANCIAL SERVICES, LLC·CRD# 38619
BD
Houston, TX
June 26, 2007 - December 17, 2015
INSTITUTIONAL CAPITAL MANAGEMENT, INC.·CRD# 41055
BD
Houston, TX
May 9, 1997 - July 11, 2007
MEYERS POLLOCK ROBBINS, INC.·CRD# 13436
BD
New York, NY
January 16, 1997 - April 15, 1997
MEYERS POLLOCK ROBBINS, INC.·CRD# 13436
BD
New York, NY
October 20, 1995 - December 31, 1996
MERIDIAN SECURITIES, INC.·CRD# 16468
BD
August 18, 1994 - July 20, 1995
MARCUS, STOWELL & BEYE, INC.·CRD# 7038
BD
Fort Lauderdale, FL
January 3, 1991 - August 18, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.·CRD# 19184
BD
Fort Lauderdale, FL
January 3, 1991 - August 20, 1994
SCHAEFER SECURITIES, INC.·CRD# 18046
BD
July 9, 1987 - December 18, 1990

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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)
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).

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)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

8

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam

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CRS (Client Relationship Summary)

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

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