AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DS

David L. Sheppard

Some features on this profile are disabled
CRD#: 2527279
DS

Professional summary

David Leonard Sheppard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 11 firms, which includes WINDSOR STREET CAPITAL LP, AEGIS CAPITAL CORP., BISHOP ROSEN & CO. INC., CAPITOL SECURITIES MANAGEMENT INC., PETERSEN INVESTMENTS INC., KIMBALL & CROSS INVESTMENT MANAGEMENT CORP., OPPENHEIMER & CO. INC., A. G. EDWARDS & SONS INC., UBS FINANCIAL SERVICES INC., THE BOSTON GROUP, A.S. GOLDMEN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

David L Sheppard

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)

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

December 3, 2015 - October 27, 2016

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

February 27, 2014 - December 3, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

July 22, 2010 - February 27, 2014

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
HUDSON, MA
Past

May 5, 2009 - July 22, 2010

CAPITOL SECURITIES MANAGEMENT, INC.

BD
CRD#: 14169
WORCESTER, MA
Past

January 12, 2009 - May 14, 2009

PETERSEN INVESTMENTS, INC.

BD
CRD#: 38537
NEW YORK, NY
Past

October 25, 2005 - December 31, 2008

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

BD
CRD#: 2438
BOSTON, MA
Past

January 28, 2003 - November 7, 2005

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 10, 2000 - January 31, 2003

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

August 24, 1998 - October 20, 2000

KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.

BD
CRD#: 2438
BOSTON, MA
Past

April 15, 1998 - August 18, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 1, 1995 - May 20, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

April 5, 1995 - April 24, 1995

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ

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

State Security Law Exam
RR
Series 63
Date: 5/9/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/1995
General Securities Representative Examination

Current Firm

WS
WINDSOR STREET CAPITAL, LP
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.

CRD#: 34171 / SEC#: , 8-46219

BD
Cancelled by SEC on 02/05/2020
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/01/1993
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MEYERS SECURITIES CORP.GENERAL PARTNER

Disclosures

Regulatory Event37
Arbitration15

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

WINDSOR STREET CAPITAL, LP

CRD#: 34171

TRUST BUT VERIFY

Monitor David Sheppard

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.