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JM

John A. Marchese

Some features on this profile are disabled
CRD#: 1726187
JM

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.

John Anthony Marchese, who also goes by John Anthony Marchese Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Anthony Marchese Jr

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

October 11, 2019 - February 17, 2021

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BOCA RATON, FL
Past

September 14, 2010 - December 18, 2017

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BOCA RATON, FL
Past

June 18, 2007 - September 17, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOCA RATON, FL
Past

April 17, 2002 - July 13, 2007

RYAN BECK & CO.

BD
CRD#: 3248
BOCA RATON, FL
Past

May 22, 1995 - May 9, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 13, 1994 - June 13, 1995

MERIDIAN SECURITIES, INC.

BD
CRD#: 16468
Past

October 22, 1993 - January 1, 1994

FAIC SECURITIES, INC.

BD
CRD#: 8323
MIAMI, FL
Past

January 23, 1990 - October 8, 1993

BRENT CAPITAL CORP.

BD
CRD#: 18518
PITTSFORD, NY
Past

February 3, 1988 - December 3, 1988

ELDERS SECURITIES INC.

BD
CRD#: 14111
Past

August 21, 1987 - April 8, 1988

GARY GOLDBERG & CO., INC.

BD
CRD#: 6482

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: 12/17/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/21/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
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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