Justin R. Dzik

SHEARSON FINANCIAL SERVICES

Bellaire, TX 77401

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CRD#: 5728914

Professional summary

Justin R. Dzik, who also goes by Justin R. Dzik Mr., Justin Dzik, is a registered financial advisor currently at SHEARSON FINANCIAL SERVICES, LLC located in Bellaire, Texas.

Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Justin has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Justin R. Dzik Mr. | Justin Dzik

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.

MEMBER OF DZIK INVESTMENTS. FINANCIAL MANAGEMENT. PARTNERSHIP WITH FATHER. 40 HRS PER WEEK. TO CAPTURE BUSINESS RELATED EXPENSES FOR TAX PURPOSES. Member of Polkabla Family LLC, which will invest in Real Estate as well as Traditional Investments. Board Member, Trees for Houston, Non profit , 4 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin R. Dzik's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Justin R. Dzik'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

April 6, 2023 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 6750 West Loop South Suite 1080, Bellaire, TX 77401

RIA

CRD#: 38619

Bellaire, TX

Current

December 3, 2010 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 6750 West Loop South Suite 1080, Bellaire, TX 77401

RIA

CRD#: 38619

Bellaire, TX

Past

December 14, 2009 - September 9, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

HOUSTON, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(6/21/2024)

Pennsylvania
(12/3/2010)

South Carolina
(7/24/2023)

Texas
(12/3/2010)

IAR

Texas
(4/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/29/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/16/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2009

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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Firm Stability Insights

Justin R. Dzik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin R. Dzik's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Justin R. Dzik's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEARSON FINANCIAL SERVICES, LLC

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2019

Series 63

Date: 4/16/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2009

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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