Jeffrey G. Shepard

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CRD#: 2112143

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeffrey Grafton Shepard, who also goes by Jeffrey Shepard, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 52, Series 3 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Shepard

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.

1.) I AM 1/3 OWNER OF FIXED INCOME ASSOCIATES LLC, A FIRM IN CRYSTAL LAKE, IL THAT INVESTS IN RENTAL PROPERTY. THIS FIRM WAS ESTABLSIHED IN 08/2011. I SPEND A FEW HOURS A MONTH KEEPING TRACK OF THE BANK ACCOUNT AND DEPOSITING CHECKS, ETC. THAT IS ALL EVENINGS AND WEEKENDS. I MAY HAVE AN OCCASIONAL PROBLEM THAT I HAVE TO TAKE CARE OF DURING TRADING HOURS BUT THAT WOULD BE RARE AND SHOULD NOT TAKE MUCH TIME. FOR EXAMPLE, PERHAPS I WOULD HAVE TO APPROVE AN EXPENDITURE. WE ARE CONTINUING TO PURCHASE PROPERTY BUT MY PARTNER IS THE ONE DOING THE LEG WORK FOR THAT. THIS FIRM IS INVESTMENT-RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 15, 2017 - December 31, 2024

EASTGATE CAPITAL ADVISORS LLC

RIA

CRD#: 220511

WINNETKA, IL

Past

February 3, 2012 - August 8, 2016

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

December 9, 2005 - September 5, 2008

SEGALL BRYANT & HAMILL

RIA

CRD#: 106505

CHICAGO, IL

Past

April 28, 2005 - May 24, 2005

BOFA ADVISORS, LLC

RIA

CRD#: 107900

CHAICAGO, IL

Past

April 1, 2003 - April 28, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

CHICAGO, IL

Past

January 19, 1994 - April 1, 2003

STEIN ROE & FARNHAM INCORPORATED

RIA

CRD#: 105847

CHICAGO, IL

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".

EASTGATE CAPITAL ADVISORS LLC

CRD#: 220511 / SEC#: 801-130038

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2024 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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 2/10/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/1/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2012

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 2/2/2012

Municipal Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/13/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 2

Date: 11/15/1990

Non-Member General Securities Examination

Current Firm

EASTGATE CAPITAL ADVISORS LLC

CRD#: 220511 / SEC#: 801-130038

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2024 Terminated)

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Contact information

Main Address

560 Green Bay Road Suite 101, Winnetka, IL 60093

Mailing Address

Phone number

(312) 690-4900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EASTGATE CAPITAL ADVISORS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	269
AUM (Assets Under Management)	$ 263,018,259

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/19/2025	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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Jeffrey G. Shepard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILLIAM BLAIR

SEGALL BRYANT & HAMILL

BOFA ADVISORS, LLC

COLUMBIA MANAGEMENT ADVISORS, INC.

STEIN ROE & FARNHAM INCORPORATED

Primary Firm SEC Registration

EASTGATE CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/2012

Series 65

Date: 12/1/1993

SIE

Date: 8/8/2016

Series 7

Date: 3/5/2012

Series 52

Date: 2/2/2012

Series 3

Date: 10/13/1992

Series 2

Date: 11/15/1990

Current Firm

EASTGATE CAPITAL ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EASTGATE CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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