John A. Shepley

KORNITZER CAPITAL MANAGEMENT

MISSION, KS 66205

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CRD#: 2196550

Professional summary

John Alan Shepley, CFA is a registered financial advisor currently at KORNITZER CAPITAL MANAGEMENT, INC. located in Mission, Kansas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 2 firms and has passed the Series 63 and Series 65 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view John Alan Shepley'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®

CFA

Chartered Financial Analyst

Experience

Current

June 6, 2005 - Present

KORNITZER CAPITAL MANAGEMENT, INC.

Office #1: 5420 West 61st Place, Mission, KS 66205

RIA

CRD#: 111087

MISSION, KS

Past

February 18, 1992 - April 11, 2005

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 104511

OKLAHOMA CITY , OK

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".

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(6/6/2005)

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: 1/15/1992

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/16/1991

Uniform Investment Adviser Law Examination

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 Approved)

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Contact information

Main Address

5420 West 61st Place, Mission, KS 66205-3084

Mailing Address

P.o. Box 918, Shawnee Mission, KS 66201-0918

Phone number

(913) 677-7778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE DISCLOSURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts	5,127
AUM (Assets Under Management)	$ 6,752,273,410

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/20/2025	Cover Page	Report
11/19/2024	Cover Page	Report
09/25/2023	Cover Page	Report
12/21/2022	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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John A. Shepley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Alan Shepley's CRS (Customer Relationship Summary).

Certified licenses

Experience

KORNITZER CAPITAL MANAGEMENT, INC.

TOM JOHNSON INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

KORNITZER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/1992

Series 65

Date: 12/16/1991

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KORNITZER CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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