Richard M. Shearer
Professional summary
Richard Michael Shearer, who also goes by Richard Shearer, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Shearer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2017 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078July 2, 2012 - December 13, 2016
VIRTU AMERICAS LLC
July 8, 2008 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
May 8, 1996 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/13/2017)
(1/5/2022)
(4/13/2017)
(1/2/2025)
(1/2/2025)
(4/13/2017)
Exams
Series 55
Date: 9/23/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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