Jeffrey P. Shipman
Professional summary
Jeffrey Paul Shipman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jeffrey had worked at 7 firms, which includes INVESTORS CAPITAL CORP., THE ADVISORS GROUP INC., GUGGENHEIM DISTRIBUTORS LLC, TRANSAMERICA CAPITAL LLC, TRANSAMERICA FINANCIAL ADVISORS LLC, NATIXIS DISTRIBUTION LLC, NEW ENGLAND SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2004 - August 28, 2007
INVESTORS CAPITAL CORP.
July 25, 2003 - September 9, 2003
THE ADVISORS GROUP, INC.
September 6, 2002 - October 8, 2003
INVESTORS CAPITAL CORP.
January 25, 2002 - June 24, 2002
GUGGENHEIM DISTRIBUTORS, LLC
December 5, 2000 - January 29, 2002
TRANSAMERICA CAPITAL, LLC
April 7, 1999 - December 15, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 7, 1996 - August 19, 1998
NATIXIS DISTRIBUTION, LLC
March 25, 1996 - April 30, 1996
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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