Margo A. Shepard
Professional summary
Margo Ann Shepard, CFP®, CIMA®, who also goes by Margo Ann Shepard, Margo Ann Warhola Shepard, Margo Ann Warhola, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Kansas City, Missouri.
Margo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Margo has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Margo Ann Shepard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margo Ann Shepard's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1985
Experience
March 1, 2024 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: American Century Tower 2 4520 Main Street 620 [satellite], Kansas City, MO 64111March 1, 2024 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: American Century Tower 2 4520 Main Street 620 [satellite], Kansas City, MO 64111October 28, 2010 - March 1, 2024
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2010 - October 27, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2010 - March 1, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - November 19, 2010
MORGAN STANLEY
June 1, 2009 - November 19, 2010
MORGAN STANLEY
November 1, 1995 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 8, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 25, 1982 - July 15, 1983
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
Company Information
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Private Wealth Financial AdvisorCRD#: 11025Kansas City, MO 64111TRUST BUT VERIFY
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