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BS

Barbara M. Shepherd

FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 2135219
BS

Professional summary

Barbara M. Shepherd, who also goes by Barbara Maria Shepherd, Barbara Shepherd, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island and DIGITAL BROKERAGE SERVICES LLC located in Jersey City, New Jersey.

Barbara is registered as a RR (Registered Representative) and started their career in finance in 2011. Barbara has worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barbara Maria Shepherd | Barbara 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barbara M. 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

May 11, 2020 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
Smithfield, RI
Current

March 12, 2021 - Present

DIGITAL BROKERAGE SERVICES LLC

Office #1: 499 Washington Blvd, Jersey City, NJ 07310
BD
CRD#: 308213
Jersey City, NJ
Past

January 13, 2016 - March 6, 2019

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 27, 2011 - September 22, 2014

PYRAMIS DISTRIBUTORS CORPORATION LLC

BD
CRD#: 146430
SMITHFIELD, RI

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.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/26/2011
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

DB
DIGITAL BROKERAGE SERVICES LLC
DIGITAL BROKERAGE SERVICES LLC

CRD#: 308213 / SEC#: , 8-70512

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
499 Washington Blvd, Jersey City, NJ 07310
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(833) 327-3444
Established
Delaware since 02/27/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
CULLARO, GIUSEPPEPRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER4738727
MCGINTY, JOHN JR.CHIEF COMPLIANCE OFFICER5560420
O'BRIEN, EDWARD DANIELDIRECTOR2239064
RHODES, NOAH BUTLERPRINCIPAL FINANCIAL OFFICER6546392
WEAVER, BRYAN ROBERTCHIEF LEGAL OFFICER2933941

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

DIGITAL BROKERAGE SERVICES LLC

CRD#: 308213Smithfield, RI 02917

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