John L. Shepherd
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.
John Lincoln Shepherd II, who also goes by John L Shepherd, John Lincoln Shepherd, J Lincoln Shepherd, John Lincoln Shepherd II, John Shepherd, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2019 - January 19, 2023
MACQUARIE CAPITAL (USA) INC.
October 23, 2017 - November 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2017 - November 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2010 - August 3, 2011
BNP PARIBAS SECURITIES CORP.
October 27, 2000 - April 30, 2010
BARCLAYS CAPITAL INC.
September 19, 1996 - October 13, 1998
IDS LIFE INSURANCE COMPANY
September 19, 1996 - October 13, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
