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DS

David W. Shepherd

SHEPHERD WEALTH & RETIREMENT LLC
Tucson, AZ 85715
Some features on this profile are disabled
CRD#: 1988336
DS

Professional summary

David Wayne Shepherd, CFP®, who also goes by Dave Shepherd, David W Shepherd, is a registered financial advisor currently at SHEPHERD WEALTH & RETIREMENT LLC located in Tucson, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave Shepherd | David W Shepherd

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.
3/28/1986 - RETIREMENT FINANCIAL SERVICES, INC. - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE DBA - Time Spent 1%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Shepherd'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®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Current

September 30, 2019 - Present

SHEPHERD WEALTH & RETIREMENT LLC

Office #1: 6300 E. El Dorado Plaza A200, Tucson, AZ 85715
RIA
CRD#: 305645
Tucson, AZ
Past

January 10, 2019 - September 26, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
TUCSON, AZ
Past

April 30, 2009 - December 22, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
TUCSON, AZ
Past

January 5, 2001 - September 26, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
TUCSON, AZ
Past

May 29, 1998 - January 8, 2001

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

October 6, 1997 - March 26, 2020

SHEPHERD WEALTH & RETIREMENT

RIA
CRD#: 116151
TUCSON, AZ
Past

January 11, 1993 - June 10, 1998

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

July 24, 1990 - January 14, 1993

FINANCIAL ARCHITECTS SECURITIES CORPORATION

BD
CRD#: 13269
Past

December 6, 1989 - May 7, 1990

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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
Arizona
(11/5/2019)
IAR
Texas
(9/6/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/1/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/1989
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: 11/28/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 11/11/2004
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/1992
General Securities Principal Examination

Current Firm

SW
SHEPHERD WEALTH & RETIREMENT LLC
SHEPHERD WEALTH & RETIREMENT LLC

CRD#: 305645 / SEC#: 801-117418

RIA
Registered Investment Advisory firm - (8/4/2022 Terminated)
Arizona
Registered Investment Advisory firm - (7/27/2022 Approved)
Texas
Registered Investment Advisory firm - (7/28/2022 Conditional Restricted)
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Contact information

Main Address
6300 E. El Dorado Plaza A200, Tucson, AZ 85715
Mailing Address
Phone number
(520) 325-1600
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts346
AUM (Assets Under Management)$ 86,164,912

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

SHEPHERD WEALTH & RETIREMENT LLC

CRD#: 305645Tucson, AZ 85715

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