Edward R. Sheppard

Some features on this profile are disabled

CRD#: 2910749

Professional summary

Edward Rudolph Sheppard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Edward had worked at 13 firms, which includes CUMBERLAND BROKERAGE CORPORATION, SYNERGY INVESTMENT GROUP LLC, BROOKSTONE SECURITIES INC., GUNNALLEN FINANCIAL INC, NEWBRIDGE SECURITIES CORPORATION, SALOMON GREY FINANCIAL CORPORATION, AURA FINANCIAL SERVICES INC., THE INVESTMENT CENTER INC., R.M. STARK & CO. INC., WOODSTOCK FINANCIAL GROUP INC., SUNPOINT SECURITIES INC., J. P. GIBBONS & CO. INC., DALTON KENT SECURITIES GROUP INC..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 12, 2007 - July 2, 2007

CUMBERLAND BROKERAGE CORPORATION

CRD#: 13409

ARDMORE, PA

Past

January 18, 2007 - February 2, 2007

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

May 10, 2006 - June 29, 2006

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

March 8, 2006 - April 20, 2006

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

June 1, 2005 - February 3, 2006

GUNNALLEN FINANCIAL, INC

CRD#: 17609

RIVERDALE, NY

Past

December 8, 2004 - May 2, 2005

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

August 24, 2004 - November 17, 2004

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

February 17, 2003 - August 10, 2004

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

January 16, 2002 - September 30, 2002

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

February 2, 2001 - August 17, 2001

R.M. STARK & CO., INC.

CRD#: 7612

LAKE WORTH BEACH, FL

Past

November 29, 1999 - May 17, 2000

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

WOODSTOCK, GA

Past

March 18, 1999 - November 19, 1999

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

June 3, 1998 - March 3, 1999

J. P. GIBBONS & CO., INC.

CRD#: 38850

NEW YORK, NY

Past

October 17, 1997 - July 10, 1998

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

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

Series 63

Date: 10/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/5/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/2000

General Securities Principal Examination

Current Firm

CUMBERLAND BROKERAGE CORPORATION

CUMBERLAND ADVISORS, PTY | CUMBERLAND BROKERAGE CORPORATION

CRD#: 13409 / SEC#: , 8-42993

Terminated by SEC on 08/29/2011

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

Mailing Address

Phone number

Established

New Jersey since 06/20/1990

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SCHARF, GLENN PHILIP	PRESIDENT, CHIEF COMPLIANCE OFFICER
BRUCE, ELLYN HOPE	EXECUTIVE VICE PRESIDENT	1036299
CALCATERRA, TIM	EXECUTIVE VICE PRESIDENT	4020937

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward R. Sheppard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYNERGY INVESTMENT GROUP, LLC

BROOKSTONE SECURITIES, INC.

BROOKSTONE SECURITIES, INC.

GUNNALLEN FINANCIAL, INC

NEWBRIDGE SECURITIES CORPORATION

SALOMON GREY FINANCIAL CORPORATION

AURA FINANCIAL SERVICES, INC.

THE INVESTMENT CENTER, INC.

R.M. STARK & CO., INC.

WOODSTOCK FINANCIAL GROUP, INC.

SUNPOINT SECURITIES, INC.

J. P. GIBBONS & CO., INC.

DALTON KENT SECURITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/1997

Series 7

Date: 9/5/1997

Series 24

Date: 3/17/2000

Current Firm

CUMBERLAND BROKERAGE CORPORATION

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CUMBERLAND BROKERAGE CORPORATION

TRUST BUT VERIFY

Similar Advisors