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JK

James W. Keegan

SHEARSON FINANCIAL SERVICES
Boca Raton, FL 33433
Some features on this profile are disabled
CRD#: 4199196
JK

Professional summary

James William Keegan is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 James William Keegan'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

August 29, 2003 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Rd Suite 501, Boca Raton, FL 33433
RIA
BD
CRD#: 38619
Boca Raton, FL
Past

August 29, 2001 - December 31, 2002

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

September 1, 2000 - September 25, 2001

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY

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
Florida
(9/6/2003)
RR
Georgia
(10/31/2022)
RR
Maryland
(10/19/2017)
RR
Massachusetts
(12/13/2019)
RR
Nevada
(1/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/10/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

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#: 38619Boca Raton, FL 33433

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