Andrew J. Marchese

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CRD#: 1714901

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.

Andrew John Marchese was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 14 firms and has passed the Series 63, Series 7 and Series 53 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)

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

November 3, 2011 - May 9, 2013

SHEARSON FINANCIAL SERVICES, LLC

CRD#: 38619

BOCA RATON, FL

Past

July 13, 2007 - October 7, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

POMPANO BEACH, FL

Past

September 22, 2006 - March 1, 2007

E*TRADE SECURITIES LLC

CRD#: 29106

FT. LAUDERDALE, FL

Past

June 19, 2002 - October 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 12, 2001 - March 14, 2002

CARDINAL CAPITAL MANAGEMENT, INC.

CRD#: 24605

MIAMI, FL

Past

March 30, 1999 - January 28, 2000

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 24, 1997 - December 2, 1998

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

February 23, 1995 - June 6, 1997

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

August 1, 1994 - February 8, 1995

RESURGENS CAPITAL & INVESTMENTS, INC.

CRD#: 31013

Past

April 6, 1993 - August 1, 1994

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

April 17, 1991 - April 20, 1993

FSI FINANCIAL CORPORATION

CRD#: 26261

Past

November 24, 1989 - October 23, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 24, 1989 - October 23, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 25, 1988 - January 31, 1989

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

Past

November 25, 1987 - December 21, 1987

GLADSTONE SECURITIES, INC.

CRD#: 15910

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

Series 63

Date: 11/17/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/2/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/23/1995

Municipal Securities Principal Examination

Current Firm

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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Advisor Monitoring

Firm Stability Insights

Andrew J. Marchese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

E*TRADE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

CARDINAL CAPITAL MANAGEMENT, INC.

OPPENHEIMER & CO. INC.

J.C. BRADFORD & CO.

JOSEPH CHARLES & ASSOC., INC.

RESURGENS CAPITAL & INVESTMENTS, INC.

MARION BASS SECURITIES CORPORATION

FSI FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

LEGEND MERCHANT GROUP, INC.

GLADSTONE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2011

Series 7

Date: 11/2/2011

Series 53

Date: 8/23/1995

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

TRUST BUT VERIFY

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