Thomas O. Shepard
FLAGSHIP HARBOR ADVISORS
YARMOUTH, ME 04096
Some features on this profile are disabled
CRD#: 2786981
Professional summary
Thomas Owen Shepard, CFP® is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Yarmouth, Maine and LPL FINANCIAL LLC located in Yarmouth, Maine.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Life Transitions
Retirement Income Management
Education Planning
Investment Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 12/21/2011: DBA ONLY - SHEPARD FINANCIAL, LLC - TIME SPENT 98% - YARMOUTH, ME. 2. 1/18/2013: REGISTERED INVESTMENT ADVISOR - FLAGSHIP HARBOR ADVISORS - SERVE AS AN INVESTMENT ADVISOR REPRESENTATIVE UNDER THE FLAGSHIP HARBOR ADVISORS RIA. ACTIVITIES MAY INCLUDE FINANCIAL PLANNING, RENDERING INVESTMENT ADVICE AS A FEE, OR OTHER RELATED INVESTMENT CONSULTING. - (HYBRID) FLAGSHIP HARBOR ADVISORS - TIME SPENT 75% - YARMOUTH, ME. 3. 1/29/2013: NON-VARIABLE INSURANCE - TOM SHEPARD - OFFERING FIXED ANNUITIES AND INSURANCE TO CLIENTS AND PROSPECTS. - TIME SPENT 10% - YARMOUTH, ME 4. 6/6/2017 - Flagship Harbor advisors - DBA: (Hybrid) Currency Camp - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/14/16 - 8 Hours Per Month During Securities Trading - Provides adult financial education and consulting to groups of people through seminars. 5. 6/7/2017 - The Currency Institute - Not Investment Related - Home Based - Business Owner - Started 05/22/2017 - 2 Hours Per Month/0 Hours During Securities Trading. 6. 09/28/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other - writing a book - Start Date - 01/08/2015 - 8 Hours Per Month/1 Hours During Securities Trading - Author 7. 11/18/2022 - Currency Institute - Investment Related - 701 US Route One Yarmouth Maine 04096 - Real Estate Rental - Start Date: 01/06/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 8. 10/13/2023 - Currency Institute - Other - Reps Business - Not Investment Related - At Reported Business Location(s) - Start Date 09/11/2023 - 4 Hours Per Month/ 0 Hours During Trading 9. 01/03/2025 - Currency Institute - Not Investment Related - Other - royalty for use of intellectual property - Home Based - Start Date: 10/03/2024 - 4 Hours Per Month - 0 Hours During Trading 10. 12/13/2024 - Currency Institute - Investment Related - Real Estate Rental - At Reported Business Location(s - Start Date: 01/06/2020 - 1 Hours Per Month - 0 Hours During Trading 11. 01/03/2025 - Currency Institute - Not Investment Related - Other - royalty for use of intellectual property - At Reported Business Location(s) - Start Date: 10/03/2024 - 4 Hours Per Month - 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Owen Shepard'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®
CFP®
Start date: 2002
Experience
Current
January 16, 2013 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 701 Us Route 1 Unit 4, Yarmouth, ME 04096RIA
CRD#: 155733
YARMOUTH, ME
Current
December 21, 2011 - Present
LPL FINANCIAL LLC
Office #1: 701 Us Route 1, Suite 4, Yarmouth, ME 04096RIA
BD
CRD#: 6413
Yarmouth, ME
Past
December 21, 2011 - June 12, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
HARPSWELL, ME
Past
December 11, 2002 - December 23, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
YARMOUTH, ME
Past
August 19, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 19, 1996 - December 23, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
YARMOUTH, ME
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/9/2012)
RR
California(12/16/2020)
RR
Connecticut(5/1/2014)
RR
Florida(12/21/2011)
RR
Georgia(9/19/2018)
RR
Illinois(12/21/2011)
RR
Kentucky(4/26/2021)
RR
Maine(12/22/2011)
IAR
Maine(1/16/2013)
RR
Massachusetts(12/21/2011)
RR
Missouri(3/6/2025)
RR
New Hampshire(12/21/2011)
RR
New Jersey(5/31/2012)
RR
New York(1/9/2012)
RR
North Carolina(1/23/2021)
RR
Ohio(12/21/2011)
RR
Oregon(1/14/2022)
RR
Pennsylvania(11/8/2017)
RR
Rhode Island(3/7/2025)
RR
South Carolina(6/13/2012)
RR
Tennessee(5/4/2018)
RR
Texas(11/13/2017)
RR
Utah(10/8/2019)
RR
Vermont(4/3/2018)
RR
Virginia(12/21/2011)
RR
Washington(12/21/2011)
RR
Wisconsin(8/7/2019)
RR
Wyoming(4/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733Yarmouth, ME 04096TRUST BUT VERIFY
Monitor Thomas Shepard
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
