Alex J. Sheppard
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Portland, OR
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CRD#: 3098710
Professional summary
Alex John Sheppard, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Portland, Oregon and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Portland, Oregon.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alex has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
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) FINANCIAL RESERVE INC, 12725 SW 66TH AVE #102, PORTLAND, OR, 07/2009. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-5/WK-2/TRADING. 2)FINANCIAL RESERVE, INC. (NON-INVESTMENT RELATED), 12725 SW 66TH AVE, SUITE 102, PORTLAND, OR 97223; ADVISOR; START DATE: 7/1/09; 15 HRS/WK, 5 HRS DURING SECURITIES TRADING HRS; PROVIDE ADVICE AND COUNSELING IN THE AREAS OF CAREER, NETWORKING, PERSONAL BUDGETING, CONSUMER, CREDIT AND GOAL MANGEMENT, HEALTH AND TIME MANAGEMENT. 3)KRUSE WAY ROTARY, 15555 SW BANGY RD, LAKE OSWEGO, OR 97035. BEGAN 7/1/11 AS PRESIDENT OF NON-PROFIT. MANAGE CLUB AND BOARD. NIR-3/MO-2/TRADING. 4)SHEP EAST, LLC , 2949 NW CHIANTI LN, BEND, OR; BEGAN 10/15/2014 AS MANAGER ; NOT INVESTMENT RELATED ; DEVOTES 1 HR/MO ; NONE DURING TRADING. 5) FINANCIAL RESERVE INC, 12725 SW 66TH AVE #102, PORTLAND, OR, 01/2016. SHAREHOLDER. INV REL-5/WK-3/TRADING. 6) ALEX SHEPPARD, 7723 SW 2ND AVE, PORTLAND, OR, ADVISOR- TESTIFY IN DIVORCE CASE, NIR, 2/YR- 2/TRADING 7) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/01/2009 8) AP TAX - OBA, 12725 SW 66th Ave., Suite 102, Portland OR 97223, United States, 10/2025, Owner, Referrals, NIR, 1 HR/MO, 1 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Alex John Sheppard'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: 2008
Experience
Current
June 2, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 12725 Sw 66th Ave Ste 102, Portland, OR 97223-2547RIA
CRD#: 134139
Portland, OR
Current
May 22, 2009 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 12725 Sw 66th Ave Ste 102, Portland, OR 97223-2547BD
CRD#: 39543
PORTLAND, OR
Past
May 6, 2005 - May 5, 2009
THE H GROUP, INC.
RIA
CRD#: 106801
SALEM, OR
Past
March 8, 2005 - July 28, 2006
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SALEM, OR
Past
June 25, 2004 - March 2, 2005
CHOICE INVESTMENTS, INC.
BD
CRD#: 17665
AUSTIN, TX
Past
November 10, 1998 - June 18, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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(6/17/2021)
RR
California(10/1/2009)
RR
Colorado(11/16/2017)
RR
Georgia(2/18/2016)
RR
Hawaii(1/4/2021)
RR
Idaho(11/16/2018)
RR
Nevada(1/2/2018)
RR
New Jersey(11/16/2017)
RR
Ohio(1/3/2012)
RR
Oregon(6/1/2009)
IAR
Oregon(6/2/2009)
RR
Texas(11/8/2023)
IAR
Texas(11/8/2023)
RR
Utah(2/18/2016)
RR
Washington(6/1/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
