Robert J. Sheppard
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.
Robert James Sheppard was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 1 firm and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1997 - December 31, 2017
HAYWOOD SECURITIES (USA) INC.
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
Series 38
Date: 12/19/1997
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
