Eric K Blau
Professional Summary
Eric K Blau, who also goes by Eric Kenneth Blau, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Kenneth Blau
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433Mailing Address
7000 W. Palmetto Park Road Suite 501, Boca Raton, FL 33433Phone Number
(561) 613-4727Established
Florida since 01/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
22FINRA licenses (45 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/21/2009)
(5/1/1996)
(7/15/1996)
(1/6/2004)
(5/1/1996)
(5/22/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric K Blau's CRS (Customer Relationship Summary).
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