Robert D. Shepard

CAPITAL MANAGEMENT ASSOCIATES

Minneapolis, MN 55431-1120

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CRD#: 1199977

Professional summary

Robert Doran Shepard, AIF® is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

INSURANCE AGENT - INVESTMENT RELATED, 0 - 1 HOUR PER WEEK. RESEARCHING/IMPLEMENTING INSURANCE COVERAGE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Doran Shepard'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 13, 2014 - Present

CAPITAL MANAGEMENT ASSOCIATES INC

Office #1: 7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

RIA

CRD#: 105010

Minneapolis, MN

Current

June 15, 1990 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Avenue South Suite 500, Minneapolis, MN 55431

CRD#: 10579

Minneapolis, MN

Past

December 7, 1989 - June 25, 1990

AEGIS INVESTMENTS, INC.

CRD#: 16033

ST LOUIS PARK, MN

Past

June 27, 1988 - December 6, 1989

CREATIVE EQUITY RESOURCES, INC.

CRD#: 8190

MINNEAPOLIS, MN

Past

January 1, 1988 - June 28, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

October 26, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

October 26, 1983 - December 21, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(6/22/1990)

Colorado
(6/22/2016)

Massachusetts
(1/9/1992)

Michigan
(9/9/2015)

Minnesota
(6/15/1990)

IAR

Minnesota
(1/13/2014)

New York
(11/19/2013)

Pennsylvania
(11/19/2013)

Wisconsin
(1/14/1994)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/30/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/25/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT ASSOCIATES INC | UNITED INVESTMENT GROUP | RONIN ADVISORY | FIRST ADVISORS

CRD#: 105010 / SEC#: 801-35808

RIA

Registered Investment Advisory firm - (1/2/1990 Approved)

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Contact information

Main Address

7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120

Mailing Address

Phone number

(952) 893-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART IIA 3.31.25 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 1,627,864,626

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Robert D. Shepard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Doran Shepard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL MANAGEMENT SECURITIES, INC.

AEGIS INVESTMENTS, INC.

CREATIVE EQUITY RESOURCES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL MANAGEMENT ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 10/26/1983

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 22

Date: 11/30/1983

Series 6

Date: 10/25/1983

FINRA

Current Firm

CAPITAL MANAGEMENT ASSOCIATES INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT ASSOCIATES INC

TRUST BUT VERIFY

Contact information

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