Eric K. Blau

SHEARSON FINANCIAL SERVICES

Boca Raton, FL 33433

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CRD#: 842045

Professional summary

Eric K Blau, who also goes by Eric Kenneth Blau, is a registered financial professional currently at SHEARSON FINANCIAL SERVICES, LLC located in Boca Raton, Florida.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1977. Eric has worked at 6 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Kenneth Blau

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 Eric K Blau'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

May 1, 1996 - Present

SHEARSON FINANCIAL SERVICES, LLC

Office #1: 7000 W. Palmetto Park Rd Suite 501, Boca Raton, FL 33433

RIA

CRD#: 38619

Boca Raton, FL

Past

June 29, 1988 - May 8, 1996

FUHRMAN - MATT SECURITIES, INC.

CRD#: 16597

Past

April 3, 1988 - July 5, 1988

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

NEW YORK, NY

Past

November 19, 1985 - April 1, 1988

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

October 1, 1985 - November 29, 1985

GRUNTAL & CO., L.L.C.

CRD#: 372

Past

September 1, 1977 - October 1, 1985

JII SECURITIES INC.

CRD#: 406

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

Colorado
(12/21/2009)

Florida
(5/1/1996)

New Jersey
(7/15/1996)

New Mexico
(1/6/2004)

New York
(5/1/1996)

Virginia
(5/22/2025)

Exams

State Security Law Exam

Series 63

Date: 6/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/23/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/20/1977

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

Eric K. Blau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric K Blau's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUHRMAN - MATT SECURITIES, INC.

OPPENHEIMER & CO. INC.

FAHNESTOCK INTERNATIONAL INC.

OPPENHEIMER & CO. INC.

GRUNTAL & CO., L.L.C.

JII SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/1984

SIE

Date: 10/1/2018

Series 5

Date: 10/23/1981

Series 7

Date: 8/20/1977

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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