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MS

Mark L. Sheppard

ARKADIOS CAPITAL
Canandaigua, NY 14424
Some features on this profile are disabled
CRD#: 1567272
MS

Professional summary

Mark Leon Sheppard, who also goes by Mark Leon Sheppard Mr., is a registered financial professional currently at ARKADIOS CAPITAL located in Canandaigua, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1990. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Leon Sheppard Mr.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Leon Sheppard'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®
None

Experience

Current

August 17, 2022 - Present

ARKADIOS CAPITAL

Office #1: 2525 Route 332, Canandaigua, NY 14424
BD
CRD#: 282710
Canandaigua, NY
Past

September 5, 2014 - September 30, 2022

KALOS MANAGEMENT

RIA
CRD#: 133025
CANANDUIQUA, NY
Past

September 5, 2014 - September 30, 2022

KALOS CAPITAL, INC.

BD
CRD#: 44337
Canandaigua, NY
Past

January 4, 2008 - September 5, 2014

WALL STREET FINANCIAL GROUP, INC.

RIA
CRD#: 35830
CANANDAIGUA, NY
Past

July 1, 2005 - September 5, 2014

WALL STREET FINANCIAL GROUP, INC.

BD
CRD#: 35830
CANANDAIGUA, NY
Past

July 23, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

July 23, 1990 - July 7, 2005

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
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

RR
Florida
(8/17/2022)
RR
Massachusetts
(8/17/2022)
RR
New Jersey
(8/17/2022)
RR
New York
(8/17/2022)
RR
North Carolina
(10/5/2022)
RR
South Carolina
(8/17/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/21/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/20/1990
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MCCOMB, MAX MICHAELEXECUTIVE DIRECTOR1347500
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

Disclosures

Regulatory Event1

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

ARKADIOS CAPITAL

CRD#: 282710Canandaigua, NY 14424

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