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RS

Richard L. Shearer

MADISON CAPITAL MARKETS LLC
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 2771049
RS

Professional summary

Richard Lewis Shearer, who also goes by Rick Shearer, is a registered financial professional currently at MADISON CAPITAL MARKETS LLC located in Newport Beach, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Shearer

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 Richard Lewis Shearer's 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

November 4, 2025 - Present

MADISON CAPITAL MARKETS LLC

Office #1: 26 Corporate Plaza Drive Suite 280, Newport Beach, CA 92660
BD
CRD#: 332196
NEWPORT BEACH, CA
Past

August 12, 2024 - October 31, 2025

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

November 28, 2012 - April 25, 2023

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
HOUSTON, TX
Past

April 25, 2012 - November 13, 2012

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BELLEVUE, WA
Past

April 6, 2009 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

June 6, 2007 - April 2, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

May 21, 2007 - April 1, 2009

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH
Past

June 5, 2002 - April 11, 2007

AIM PRIVATE ASSET MANAGEMENT

RIA
CRD#: 109264
HOUSTON, TX
Past

December 10, 1997 - April 11, 2007

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
LA QUINTA, CA
Past

October 4, 1996 - October 31, 1997

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

October 4, 1996 - October 31, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(11/4/2025)
RR
Arkansas
(11/4/2025)
RR
California
(11/4/2025)
RR
Florida
(11/4/2025)
RR
Georgia
(11/4/2025)
RR
Louisiana
(11/4/2025)
RR
Mississippi
(11/4/2025)
RR
North Carolina
(11/4/2025)
RR
Oklahoma
(11/4/2025)
RR
South Carolina
(11/4/2025)
RR
Tennessee
(11/4/2025)
RR
Texas
(11/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/18/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/12/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/17/2000
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MADISON CAPITAL MARKETS LLC
MADISON CAPITAL MARKETS LLC

CRD#: 332196 / SEC#: , 8-71262

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
26 Corporate Plaza Drive Suite 280, Newport Beach, CA 92660
Mailing Address
26 Corporate Plaza Drive Suite 280, Newport Beach, CA 92660
Phone number
(949) 281-0366
Established
Delaware since 05/28/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MADISON CAPITAL GROUP HOLDINGS, LLCOWNER
KREMIN, JEFFREY MICHAELPRESIDENT/NATIONAL SALES DIRECTOR2077277
TARRA, SCOTT PATRICKFINOP/PFO4593965
TEEPLE, AMANDA BROOKECHIEF COMPLIANCE OFFICER (CCO)/POO4928064

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

MADISON CAPITAL MARKETS LLC

CRD#: 332196Newport Beach, CA 92660

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