HB
Horace S. Boone
INGALLS & SNYDER
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 1584183
HB
Professional summary
Horace Shepard Boone, who also goes by H. Shepard Boone, Shep Boone, is a registered financial advisor currently at INGALLS & SNYDER, LLC located in New York, New York.
Horace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Horace has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
H. Shepard Boone | Shep Boone
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.
TRUSTEE OF SEVEN SEPARATE FAMILY TRUSTS. TRUSTS ARE INVESTMENT-RELATED, STARTED AT VARIOUS TIMES, AND AS TRUSTEE DEVOTE LESS THAN 1 HOUR PER MONTH. Serve as a member of Board of Directors for private companies: Owlstone Inc., Salient Imaging and Graffiti Video Inc. devoting less than 10 hours per month to all of them. RR also has formed an entity called Macbay, LLC. The company does not conduct business, but is a holding company for Mr. Boone's personal real estate holdings. He devotes a couple of hours per year to the entity on administrative matters (tax filings, payment of fees). The Board of Salient also serves as the board for a wholly owned subsidiary of Salient, Carriglea, LLC. He spends less than 1 hour per month on matter related to Carriglea, LLC and receives no compensation.
Conect, Inc. - Investment related. Company is a developer of a mobile application for use by law enforcement. The rep is a director on the board and will be involved in the non-day to day oversight and operations of the business on a limited basis. Expected time allocation is expected to be less than 10 hours per month. Initiated in March of 2018.
The name of the outside business is Yangaroo, Inc. with headquarters located at 535-67 Mowat Avenue, Toronto, ON M6K 3E3 Canada. The nature of the business is digital advertising. The individual will act as a member of the company's Board of Directors, Compensation Committee, and the Interim Chairman of the Audit Committee. The start date was April 15, 2020. The approximate number of hours dedicated to the outside activity is expected to be in the range of 10 to 20 hours per month some of which may be during trading hours. The activity is investment related as the term is defined by FINRA for Form U4 purposes as the company is an issuer of securities.
CRS (Client Relationship Summary) - RIA
Click below to view Horace Shepard Boone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Horace Shepard Boone's 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®
NoneExperience
Current
July 8, 2021 - Present
INGALLS & SNYDER, LLC
Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020RIA
BD
CRD#: 2288
NEW YORK, NY
Current
July 16, 1993 - Present
INGALLS & SNYDER, LLC
Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020RIA
BD
CRD#: 2288
NEW YORK, NY
Past
August 7, 1992 - May 14, 1993
REINOSO & COMPANY, INCORPORATED
BD
CRD#: 17301
NEW YORK, NY
Past
April 30, 1991 - July 20, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
BD
CRD#: 19418
NEW YORK, NY
Past
November 16, 1989 - April 30, 1991
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
October 26, 1989 - November 21, 1989
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 17, 1987 - October 29, 1987
CARIBBEAN-GULFSTREAM SECURITIES, INC.
BD
CRD#: 13008
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".
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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
Alabama(4/11/2006)
RR
California(2/24/1997)
RR
Colorado(6/8/2007)
RR
Connecticut(1/31/1994)
RR
Florida(4/6/2010)
RR
Georgia(8/3/2011)
RR
New York(7/16/1993)
IAR
New York(7/8/2021)
RR
North Carolina(2/12/1997)
RR
Rhode Island(3/28/2007)
RR
South Carolina(4/6/2010)
RR
Utah(1/4/2017)
RR
Virginia(8/13/1993)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Mailing Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Phone number
(212) 269-7800
Established
New York since 01/02/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
84
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| I&S GROUP, LLC | PARENT HOLDING COMPANY | |
| BOUCHER, THOMAS ONEIL JR | MANAGING DIRECTOR | 730430 |
| CASE, ROBERT ANTHONY | CHIEF EXECUTIVE OFFICER | 1367765 |
| CASE, ROBERT ANTHONY | SENIOR MANAGING DIRECTOR | 1367765 |
| DOUGHERTY, JOHN JOSEPH | MANAGING DIRECTOR | 1960029 |
| GARRISON, APHRODITE MAVRICOS | MANAGING DIRECTOR | 1763811 |
| GRISANTI, ADAM F | EXECUTIVE DIRECTOR | 4413657 |
| GRISANTI, ADAM F | CHIEF OPERATIONS OFFICER | 4413657 |
| GRISANTI, ADAM F | CHIEF FINANCIAL OFFICER | 4413657 |
| JANOVIC, ADAM DAVID | MANAGING DIRECTOR | 1521203 |
| LANE-ZUCKER, KEITH SIMON | MANAGING DIRECTOR | 4050531 |
| MCLEAN, ALICE BARZUN | MANAGING DIRECTOR | 4477581 |
| MEEHAN, SEAN PATRICK | MANAGING DIRECTOR | 5033839 |
| PARK, CHRISTIAN CHIHONG | EXECUTIVE DIRECTOR | 3106787 |
| PARK, CHRISTIAN CHIHONG | CHIEF COMPLIANCE OFFICER | 3106787 |
| RIEGEL, GUY RICHARDS | MANAGING DIRECTOR | 1050269 |
| THATCHER, JAMES EDWIN | MANAGING DIRECTOR | 5872101 |
| WESTON, CHRISTINE ELIZABETH | MANAGING DIRECTOR | 1136404 |
Regulatory assets under management
| Total Number of Accounts | 4,189 |
| AUM (Assets Under Management) | $ 6,897,915,721 |
Disclosures
| Regulatory Event | 18 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/22/2024 | ||
| 09/27/2023 |
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.
