Roger L. Debock

SHEPHERD INVESTMENT MANAGEMENT

San Diego, CA

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CRD#: 1763458

Professional summary

Roger Lee Debock, who also goes by Roger Lee Debock Jr, is a registered financial advisor currently at SHEPHERD INVESTMENT MANAGEMENT located in San Diego, California.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Roger has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Roger Lee Debock Jr

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.

RDB Consulting - not investment-related - San Diego, CA - management consulting firm - Principal - 10/2015 - 160 - 160 - Provides financial management and consulting services in the areas of Finance and Capital Formation for domestic and international clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Debock'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®

None

Experience

Current

August 18, 2026 - Present

SHEPHERD INVESTMENT MANAGEMENT

RIA

CRD#: 332697

San Diego, CA

Past

July 10, 2006 - July 18, 2007

WFP SECURITIES

RIA

CRD#: 35098

SAN DIEGO, CA

Past

February 27, 2006 - July 18, 2007

WFP SECURITIES

CRD#: 35098

SAN DIEGO, CA

Past

May 1, 1998 - February 3, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

March 13, 1996 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

February 19, 1988 - March 8, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(8/18/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/3/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

SHEPHERD INVESTMENT MANAGEMENT

SHEPHERD INVESTMENT MANAGEMENT | SHEPHERD INVESTMENT MANAGEMENT LLC

CRD#: 332697 / SEC#:

California

Registered Investment Advisory firm - (10/24/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/18/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Palo Alto, CA

Mailing Address

Phone number

(415) 755-3203

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 3,178,293

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.

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Roger L. Debock

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Debock's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEPHERD INVESTMENT MANAGEMENT

WFP SECURITIES

WFP SECURITIES

WAMU INVESTMENTS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2006

Series 63

Date: 10/21/1988

Series 7

Date: 1/16/1988

Current Firm

SHEPHERD INVESTMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHEPHERD INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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