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
WS

William J. Shepherd

ACQUIOM FINANCIAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 2636409
WS

Professional summary

William James Shepherd, who also goes by Bill Shepherd, William J Shepherd, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Shepherd | William J Shepherd

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) - BD

Click below to view William James Shepherd's CRS (Customer Relationship Summary).

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

Current

March 24, 2026 - Present

ACQUIOM FINANCIAL LLC

Office #1: 950 17th Street Ste 1400, Denver, CO 80202
BD
CRD#: 170074
Denver, CO
Past

April 25, 2011 - February 18, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 12, 2011 - February 18, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

October 1, 2008 - June 24, 2010

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

October 1, 2008 - June 24, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

June 6, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
CHICAGO, IL
Past

April 21, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

May 1, 2001 - January 5, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 26, 1995 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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
IAR
Series 66
Date: 6/4/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/24/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/24/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/16/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/2/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/27/2008
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ACQUIOM FINANCIAL LLC
ACQUIOM FINANCIAL LLC

CRD#: 170074 / SEC#: , 8-69408

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
950 17th Street Ste 1400, Denver, CO 80202
Mailing Address
950 17th Street Ste 1400, Denver, CO 80202
Phone number
(720) 279-0964
Established
Colorado since 10/04/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SRS ACQUIOM HOLDINGS LLCUNITHOLDER
AREND, SEAN KRISTIANCHIEF COMPLIANCE OFFICER6409880
KOENIG, WILLIAM PAULPRESIDENT6285415
RICHTER, TYLER KEVINPRINCIPAL FINANCIAL OFFICER6361430
YATES, MELINDA MARIEPRINCIPAL OPERATIONS OFFICER6785708

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

ACQUIOM FINANCIAL LLC

CRD#: 170074Denver, CO 80202

TRUST BUT VERIFY

Monitor William Shepherd

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

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
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.