Laura L. 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.
Laura Louise Shepard, who also goes by Laura Louise Gearhart, Laura Louise Ranzman, Laura Shepard, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1982. Laura had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2011 - September 15, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 14, 2008 - June 16, 2011
NATIONS FINANCIAL GROUP, INC.
September 25, 2006 - November 7, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 12, 1998 - December 12, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
September 24, 1996 - February 10, 1998
BOSTON PARTNERS SECURITIES, L.L.C.
February 1, 1993 - September 25, 1996
PRINCIPAL SECURITIES, INC.
June 4, 1992 - October 6, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
December 7, 1989 - November 14, 1990
PERSHING LLC
December 18, 1987 - August 28, 1989
BILLINGS EQUITIES, INC.
July 24, 1987 - November 23, 1987
HAAS SECURITIES CORPORATION
June 5, 1986 - June 23, 1987
UBS FINANCIAL SERVICES INC.
May 13, 1985 - May 27, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
October 3, 1984 - May 30, 1985
STUART, COLEMAN & CO., INC.
April 3, 1984 - June 14, 1984
CITIGROUP GLOBAL MARKETS INC.
April 22, 1982 - June 6, 1983
WEDBUSH SECURITIES INC.
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
