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TS

Timothy P. Schenden

Some features on this profile are disabled
CRD#: 2225960
TS

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.

Timothy Paul Schenden, who also goes by Timothy Schenden, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy Schenden

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

June 27, 2018 - December 12, 2020

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BOCA RATON, FL
Past

September 14, 2010 - August 7, 2017

SHEARSON FINANCIAL SERVICES, LLC

BD
CRD#: 38619
BOCA RATON, FL
Past

May 8, 2007 - September 17, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOCA RATON, FL
Past

September 18, 2003 - May 9, 2007

RYAN BECK & CO.

BD
CRD#: 3248
BOCA RATON, FL
Past

June 18, 2001 - September 29, 2003

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

February 22, 2001 - June 11, 2001

STIFEL INDEPENDENT ADVISORS, LLC

BD
CRD#: 28218
ST. LOUIS, MO
Past

March 16, 1999 - April 13, 1999

SUNCOAST CAPITAL GROUP, LTD.

BD
CRD#: 31214
FT. LAUDERDALE, FL
Past

June 2, 1997 - January 19, 1999

HOPPER SOLIDAY & CO., INC.

BD
CRD#: 20838
LANCASTER, PA
Past

September 5, 1996 - May 22, 1997

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

January 12, 1995 - August 22, 1996

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

February 24, 1993 - December 5, 1994

LEHWALD, OROSEY & PEPE INCORPORATED

BD
CRD#: 16677
BOCA RATON, FL
Past

September 12, 1992 - November 12, 1992

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

June 22, 1992 - August 26, 1992

F.N. WOLF & CO., INC.

BD
CRD#: 13051

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: 6/25/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1992
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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