Ronald G. Sheppard
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.
Ronald Glenn Sheppard Jr, who also goes by Ronald King-sheppard, Ron Sheppard, Ronald G Sheppard, Ronald Glen Sheppard, Ronald Glenn Sheppard Jr, Ronald Glenn Sheppard, Ronnie Sheppard, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1997. Ronald had worked at 9 firms and has passed the 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
February 25, 2022 - October 17, 2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 7, 2015 - February 26, 2022
J.P. MORGAN SECURITIES LLC
March 17, 2014 - December 8, 2014
HSBC SECURITIES (USA) INC.
August 28, 2007 - July 17, 2013
CITIGROUP GLOBAL MARKETS INC.
July 28, 2005 - May 8, 2007
UBS SECURITIES LLC
June 19, 2001 - March 4, 2005
PRUCO SECURITIES, LLC.
February 26, 2001 - June 12, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 19, 2000 - October 3, 2000
HSBC BROKERAGE (USA) INC.
January 7, 1997 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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