Wendy T. 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.
Wendy Tara Shepherd was a registered financial professional .
Wendy is a previously registered financial professional and started their career in finance in 1998. Wendy had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - July 2, 2020
USAA INVESTMENT SERVICES COMPANY
January 8, 2016 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
January 8, 2016 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
December 8, 2009 - December 1, 2015
UBS FINANCIAL SERVICES INC.
December 7, 2009 - December 1, 2015
UBS FINANCIAL SERVICES INC.
June 1, 2009 - November 17, 2009
MORGAN STANLEY
June 1, 2009 - November 17, 2009
MORGAN STANLEY
June 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 16, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 13, 2006 - June 12, 2008
CITIGROUP GLOBAL MARKETS INC.
March 13, 2006 - June 12, 2008
CITIGROUP GLOBAL MARKETS INC.
June 28, 2004 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 2004 - March 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2002 - February 25, 2004
MORGAN STANLEY DW INC.
August 29, 2001 - February 25, 2004
MORGAN STANLEY DW INC.
May 15, 1998 - March 5, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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 7TO
Date: 12/2/2022
General Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
