William James Shepherd
Professional Summary
William James Shepherd, who also goes by Bill Shepherd, William J Shepherd, is a registered financial advisor currently at ACQUIOM FINANCIAL LLC located in Denver, Colorado. William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Shepherd, William J Shepherd
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ACQUIOM FINANCIAL LLC
Contact Information
Main Address
950 17th Street Ste 1400, Denver, CO 80202Mailing Address
950 17th Street Ste 1400, Denver, CO 80202Phone Number
(720) 279-0964Established
Colorado since 10/04/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2008About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2008About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William James Shepherd's CRS (Customer Relationship Summary).
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