Lynn D. Shepherd
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.
Lynn Diane Shepherd, who also goes by Lynn Diane Gibson, Lynn D Morgan, Lynn Diane Morgan, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1994. Lynn had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - December 31, 2016
CREATIVE FINANCIAL DESIGNS, INC.
March 27, 2015 - December 31, 2016
CFD INVESTMENTS, INC.
December 9, 2014 - March 25, 2015
SWAN360
September 12, 2014 - December 22, 2014
STONEX SECURITIES INC.
May 16, 2013 - December 31, 2014
WRP INVESTMENTS, INC.
May 16, 2013 - September 12, 2014
WRP INVESTMENTS, INC.
May 18, 2010 - May 22, 2013
NEXT FINANCIAL GROUP, INC.
May 12, 2010 - May 22, 2013
NEXT FINANCIAL GROUP, INC.
December 13, 2007 - June 6, 2008
VALMARK ADVISERS, INC.
October 29, 2007 - June 6, 2008
VALMARK SECURITIES, INC.
March 23, 2004 - November 16, 2005
COMMONWEALTH FINANCIAL NETWORK
March 22, 2004 - November 16, 2005
COMMONWEALTH FINANCIAL NETWORK
November 5, 2003 - March 30, 2004
SUNAMERICA SECURITIES, INC.
November 9, 2001 - March 30, 2004
SUNAMERICA SECURITIES, INC.
April 30, 2001 - November 9, 2001
FIRSTMERIT SECURITIES, INC.
December 1, 2000 - April 16, 2001
PNC BROKERAGE CORP
December 1, 1995 - November 6, 2000
FIRSTMERIT SECURITIES, INC.
July 12, 1995 - December 1, 1995
MARKETING ONE SECURITIES, INC.
May 12, 1994 - August 4, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 12, 1994 - August 4, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
