Ross J. Mckendrick

SHEARSON FINANCIAL SERVICES

Boca Raton, FL 33433

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CRD#: 2869927

Professional summary

Ross Jay Mckendrick is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Ross is registered as a RR (Registered Representative) and started their career in finance in 1997. Ross has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Ross Jay Mckendrick'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 4, 2014 - 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

April 10, 2014 - April 28, 2014

EQUITY SERVICES, INC.

CRD#: 265

SUNRISE, FL

Past

May 1, 2013 - December 10, 2013

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

LONDON,

Past

November 3, 2011 - May 2, 2013

PFS INVESTMENTS INC.

CRD#: 10111

MIAMI, FL

Past

January 5, 2010 - February 18, 2010

JESUP & LAMONT SECURITIES CORP

RIA

CRD#: 39056

FT. LAUDERDALE, FL

Past

December 23, 2009 - February 18, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

FT. LAUDERDALE, FL

Past

July 8, 2009 - November 19, 2009

NFSG CORPORATION

RIA

CRD#: 130814

FT. LAUDERDALE, FL

Past

June 4, 2009 - November 19, 2009

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FT. LAUDERDALE, FL

Past

December 13, 2002 - April 30, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

OAKLAND PARK, FL

Past

October 2, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 2, 2002 - April 30, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

OAKLAND PARK, FL

Past

December 6, 2001 - September 18, 2002

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

October 29, 1999 - October 11, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 6, 1998 - October 25, 1999

FIN-ATLANTIC SECURITIES, INC.

CRD#: 25523

JUPITER, FL

Past

August 12, 1998 - October 21, 1998

BERNARD, LEE & EDWARDS SECURITIES, INC

CRD#: 24050

LEESBURG, FL

Past

January 8, 1998 - August 14, 1998

ACCESS FINANCIAL GROUP, INC.

CRD#: 33065

CHICAGO, IL

Past

October 17, 1997 - January 8, 1998

FIN-ATLANTIC SECURITIES, INC.

CRD#: 25523

JUPITER, FL

Past

September 11, 1997 - October 22, 1997

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

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

Florida
(6/30/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/16/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/1997

General Securities 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

Ross J. Mckendrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ross Jay Mckendrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITY SERVICES, INC.

LAIDLAW & COMPANY (UK) LTD.

PFS INVESTMENTS INC.

JESUP & LAMONT SECURITIES CORP

JESUP & LAMONT SECURITIES CORP

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

STERLING FINANCIAL INVESTMENT GROUP, INC.

MORGAN STANLEY DW INC.

FIN-ATLANTIC SECURITIES, INC.

BERNARD, LEE & EDWARDS SECURITIES, INC

ACCESS FINANCIAL GROUP, INC.

FIN-ATLANTIC SECURITIES, INC.

BILTMORE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2000

Series 63

Date: 9/22/1997

SIE

Date: 10/1/2018

Series 31

Date: 11/16/1999

Series 7

Date: 8/26/1997

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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