SG
Steven M. Grossman
SHEARSON FINANCIAL SERVICES
Boca Raton, FL 33433
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CRD#: 4430498
SG
Professional summary
Steven Michael Grossman is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 1 firm and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Grossman'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®
NoneExperience
Current
August 7, 2001 - Present
SHEARSON FINANCIAL SERVICES, LLC
Office #1: 7000 W. Palmetto Park Rd Suite 501, Boca Raton, FL 33433RIA
BD
CRD#: 38619
Boca Raton, FL
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
Arizona(1/22/2010)
RR
Arkansas(10/13/2016)
RR
California(5/19/2005)
RR
Colorado(1/22/2010)
RR
Connecticut(12/12/2006)
RR
Florida(8/8/2001)
RR
Georgia(1/6/2011)
RR
Illinois(1/22/2010)
RR
Indiana(5/19/2005)
RR
Kansas(6/29/2005)
RR
Maryland(1/22/2010)
RR
Massachusetts(1/22/2010)
RR
Michigan(5/23/2006)
RR
Minnesota(1/22/2010)
RR
Missouri(6/29/2005)
RR
New Hampshire(8/15/2008)
RR
New Jersey(1/6/2011)
RR
New Mexico(9/27/2016)
RR
New York(1/1/2005)
RR
North Carolina(5/19/2005)
RR
Ohio(1/22/2010)
RR
Oklahoma(12/12/2006)
RR
Oregon(12/12/2006)
RR
Pennsylvania(1/22/2010)
RR
Rhode Island(1/27/2006)
RR
South Dakota(1/9/2008)
RR
Tennessee(9/15/2022)
RR
Texas(4/13/2005)
RR
Utah(7/19/2007)
RR
Vermont(10/13/2016)
RR
Virginia(1/22/2010)
RR
Wisconsin(1/22/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
0
Disclosures
| Regulatory Event | 8 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619Boca Raton, FL 33433TRUST BUT VERIFY
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