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RH

Robert A. Hirsch

Some features on this profile are disabled
CRD#: 1721702
RH

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.

Robert Allen Hirsch, who also goes by Bob Hirsch, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 50, Series 3, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Hirsch

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

January 2, 2018 - March 8, 2021

SHEARSON FINANCIAL SERVICES, LLC

RIA
CRD#: 38619
BELLAIRE, TX
Past

January 24, 2007 - March 8, 2021

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BELLAIRE, TX
Past

February 15, 2006 - January 22, 2007

PIPER SANDLER & CO.

BD
CRD#: 665
HOUSTON, TX
Past

December 4, 2000 - November 16, 2005

COASTAL SECURITIES, INC.

BD
CRD#: 27834
HOUSTON, TX
Past

July 22, 1999 - November 30, 2000

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN
Past

September 19, 1997 - February 4, 1999

SUNCOAST CAPITAL GROUP, LTD.

BD
CRD#: 31214
FT. LAUDERDALE, FL
Past

February 2, 1996 - July 9, 1997

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 26, 1994 - January 31, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 17, 1993 - April 6, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

March 27, 1990 - November 29, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 19, 1987 - August 30, 1988

MORTGAGE GOVERNMENT SECURITIES, INC.

BD
CRD#: 19840
Past

October 29, 1987 - March 23, 1990

M.G.S.I. SECURITIES, INC.

BD
CRD#: 16723
HOUSTON, TX

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
IAR
Series 65
Date: 9/16/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/25/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 6/12/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 3
Date: 10/20/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 10/27/1987
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/2007
General Securities Principal 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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