Thomas B. Shearman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Broadus Shearman JR, who also goes by Thomas B Shearman Jr, Thomas Broadus Shearman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 4 firms and has passed the Series 65, SIE, Series 87, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2011 - May 1, 2018
SECURITIES RESEARCH, INC. OF FLORIDA
November 4, 1985 - May 1, 2018
SECURITIES RESEARCH, INC. OF FLORIDA
April 6, 1983 - April 10, 1986
SEARLE & CO.
January 3, 1977 - December 16, 1996
SHEARMAN, RALSTON INC.
June 13, 1968 - December 9, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/16/1955
Registered Representative ExaminationF04
Date: 11/29/1976
Financial Principal ExaminationSeries 40
Date: 4/10/1967
Registered Principal ExaminationCurrent Firm
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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