Craig G. Shepard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Gordon Shepard was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1981. Craig had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 1995 - May 31, 1995
TRADESTAR INVESTMENTS,INC.
March 1, 1990 - May 4, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1988 - March 21, 1990
LEHMAN BROTHERS INC.
September 18, 1981 - May 4, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/1/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRADESTAR INVESTMENTS,INC.
CRD#: 14565 / SEC#: , 8-38845
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
