Robert M. Dzik

SHEARSON FINANCIAL SERVICES

Bellaire, TX 77401

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CRD#: 715997

Professional summary

Robert Michael Dzik is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Bellaire, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1980. Robert has worked at 9 firms and has passed the Series 63, SIE 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 Robert Michael 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

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

January 2, 2009 - December 10, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

HOUSTON, TX

Past

August 26, 2002 - December 17, 2008

GMS GROUP

CRD#: 8000

HOUSTON, TX

Past

January 1, 2001 - August 29, 2002

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

Past

January 3, 1997 - January 1, 2001

MJK CLEARING, INC.

CRD#: 8678

MINNEAPOLIS, MN

Past

August 8, 1995 - January 3, 1997

JM DISSOLUTION, INC.

CRD#: 6980

ST. PAUL, MN

Past

April 19, 1990 - August 24, 1994

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

April 9, 1990 - August 7, 1995

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

Past

October 3, 1988 - April 10, 1990

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

NEW ORLEANS, LA

Past

July 25, 1987 - September 19, 1988

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

September 23, 1980 - September 19, 1988

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

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

Pennsylvania
(12/3/2010)

South Carolina
(7/24/2023)

Texas
(12/3/2010)

Exams

State Security Law Exam

Series 63

Date: 9/23/1980

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: 9/20/1980

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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Robert M. Dzik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Michael Dzik's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

GMS GROUP

MILLER JOHNSON STEICHEN KINNARD, INC.

MJK CLEARING, INC.

JM DISSOLUTION, INC.

WESTCAP GOVERNMENT SECURITIES, INC.

WESTCAP SECURITIES, L.P.

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

WESTCAP GOVERNMENT SECURITIES, INC.

WESTCAP SECURITIES, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/1980

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1980

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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