Kerry S. 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.
Kerry Sullivan Shepherd, who also goes by Kerry Jo Sullivan, was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1994. Kerry had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 51, Series 26 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
July 16, 2015 - October 30, 2019
ALLSTATE FINANCIAL SERVICES, LLC
August 14, 2002 - February 5, 2015
STATE FARM VP MANAGEMENT CORP.
November 27, 2000 - October 22, 2001
STRONG INVESTMENTS, INC.
July 20, 1999 - July 6, 2000
NUVEEN SECURITIES, LLC
July 17, 1996 - June 14, 1999
DWS DISTRIBUTORS, INC.
May 5, 1995 - June 26, 1996
WELLS FARGO CLEARING SERVICES, LLC
December 15, 1994 - May 16, 1995
FIRST TRUST PORTFOLIOS L.P.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
