Stephen E. Barr

SHEARSON FINANCIAL SERVICES

Boca Raton, FL 33433

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CRD#: 2302553

Professional summary

Stephen Emanuel Barr, who also goes by Stephen E Barr, is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen E Barr

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) - BD

Click below to view Stephen Emanuel Barr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 23, 2021 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433

RIA

CRD#: 38619

Boca Raton, FL

Past

November 10, 2014 - July 2, 2021

AEGIS CAPITAL CORP.

CRD#: 15007

BOCA RATON, FL

Past

October 1, 1997 - June 9, 2014

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

September 10, 1997 - September 17, 1997

BISHOP, ROSEN & CO., INC.

CRD#: 1248

Past

June 30, 1997 - November 4, 1997

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

GARDEN CITY, NY

Past

July 11, 1994 - September 25, 1997

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

November 11, 1993 - February 3, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(3/11/2024)

Florida
(9/2/2021)

New Jersey
(6/23/2021)

New York
(6/23/2021)

Exams

State Security Law Exam

Series 63

Date: 5/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Stephen E. Barr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Emanuel Barr's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

BISHOP, ROSEN & CO., INC.

BISHOP, ROSEN & CO., INC.

MORGAN GRANT CAPITAL CORP.

INVESTORS ASSOCIATES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/26/1994

Series 6

Date: 11/10/1993

FINRA

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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