Stephen A. Shepherd

STRATEGIC ADVISERS LLC

QUEEN CREEK, AZ

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CRD#: 2086695

Professional summary

Stephen A. Shepherd, who also goes by Stephen Alan Shepherd, Steve Shepherd, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Queen Creek, Arizona and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Alan Shepherd | Steve 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen A. 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®

None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

QUEEN CREEK, AZ

Current

June 24, 2021 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

July 20, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SALT LAKE CITY, UT

Past

May 7, 2019 - March 19, 2020

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

TUCSON, AZ

Past

April 30, 2019 - March 19, 2020

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

TUCSON, AZ

Past

June 17, 2018 - April 29, 2019

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

June 15, 2018 - April 29, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Scottsdale, AZ

Past

December 22, 2017 - June 29, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

PHOENIX, AZ

Past

December 22, 2017 - June 29, 2018

QUESTAR CAPITAL CORPORATION

CRD#: 43100

PHOENIX, AZ

Past

October 21, 2015 - November 29, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

PHOENIX, AZ

Past

October 20, 2015 - November 29, 2017

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

March 2, 2015 - October 29, 2015

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

January 20, 2015 - October 29, 2015

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

September 24, 2009 - December 18, 2014

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SCOTTSDALE, AZ

Past

September 18, 2009 - December 18, 2014

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SCOTTSDALE, AZ

Past

December 15, 2005 - September 30, 2009

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SCOTTSDALE, AZ

Past

August 16, 2005 - September 30, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

SCOTTSDALE, AZ

Past

October 1, 1990 - August 24, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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.

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

Alabama
(7/2/2021)

Alaska
(7/2/2021)

Arizona
(6/24/2021)

IAR

Arizona
(3/31/2025)

Arkansas
(7/2/2021)

California
(7/2/2021)

Colorado
(7/2/2021)

Connecticut
(7/2/2021)

Delaware
(7/2/2021)

District of Columbia
(7/2/2021)

Florida
(7/2/2021)

Georgia
(7/2/2021)

Hawaii
(7/2/2021)

Idaho
(7/2/2021)

Illinois
(7/2/2021)

Indiana
(7/2/2021)

Iowa
(7/2/2021)

Kansas
(7/2/2021)

Kentucky
(7/2/2021)

Louisiana
(7/2/2021)

Maine
(7/2/2021)

Maryland
(7/2/2021)

Massachusetts
(7/2/2021)

Michigan
(7/2/2021)

Minnesota
(7/2/2021)

Mississippi
(7/2/2021)

Missouri
(7/2/2021)

Montana
(7/2/2021)

Nebraska
(7/2/2021)

Nevada
(7/2/2021)

New Hampshire
(7/2/2021)

New Jersey
(7/2/2021)

New Mexico
(7/2/2021)

New York
(7/2/2021)

North Carolina
(7/2/2021)

North Dakota
(7/2/2021)

Ohio
(7/6/2021)

Oklahoma
(7/2/2021)

Oregon
(7/2/2021)

Pennsylvania
(7/2/2021)

Puerto Rico
(7/2/2021)

Rhode Island
(7/2/2021)

South Carolina
(7/2/2021)

South Dakota
(7/2/2021)

Tennessee
(7/2/2021)

Texas
(7/2/2021)

IAR

Texas
(3/31/2025)

Utah
(7/2/2021)

Vermont
(7/2/2021)

Virgin Islands
(7/2/2021)

Virginia
(7/2/2021)

Washington
(7/2/2021)

West Virginia
(7/2/2021)

Wisconsin
(7/2/2021)

Wyoming
(7/2/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/3/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/27/1990

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Stephen A. Shepherd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen A. Shepherd's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2005

Series 63

Date: 10/1/1990

SIE

Date: 10/1/2018

Series 3

Date: 6/3/1992

Series 7

Date: 9/27/1990

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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