Harry E. Shepardson
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.
Harry Elmer Shepardson IV, who also goes by H E Shepardson IV, Hank Shepardson, Harry E Shepardson Iv, Harry E Iv Shepardson, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1987. Harry had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1993 - April 30, 2002
T.H.E. FINANCIAL GROUP, LTD
July 16, 1992 - January 20, 1993
WALNUT STREET SECURITIES, INC.
August 5, 1987 - April 20, 1992
MONY SECURITIES CORPORATION
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
T.H.E. FINANCIAL GROUP, LTD
CRD#: 14720 / SEC#: , 8-31119
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
