Brian P. Shepardson

JAMES INVESTMENT RESEARCH

Xenia, OH 45385

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CRD#: 4087813

Professional summary

Brian Philip Shepardson, who also goes by Brian Phillip Shepardson, is a registered financial advisor currently at JAMES INVESTMENT RESEARCH INC located in Xenia, Ohio.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Brian has worked at 4 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Phillip Shepardson

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.

JAMES INVESTMENT RESEARCH-INVESTMENT RELATED-1349 FAIRGROUND RD, XENIA, OH 45385-REGISTERED INVESTMENT ADVISOR - FIRST VICE PRESIDENT/PORTFOLIO MANAGER -160 HRS. TOTAL PER MONTH 130 HOURS PER MONTH DURING TRADING HOURS- PORTFOLIO MANAGER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Philip Shepardson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 18, 2011 - Present

JAMES INVESTMENT RESEARCH INC

Office #1: 1349 Fairground Road, Xenia, OH 45385

RIA

CRD#: 110433

Xenia, OH

Past

October 24, 2011 - December 2, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

February 9, 2010 - October 24, 2011

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

December 21, 1999 - March 2, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

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".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 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.

Highlighted states indicate IAR registrations

IAR

Florida
(7/19/2023)

IAR

Ohio
(11/18/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/24/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

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.

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Brian P. Shepardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Philip Shepardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES INVESTMENT RESEARCH INC

ALPS DISTRIBUTORS, INC.

UNIFIED FINANCIAL SECURITIES, LLC

IFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 6/24/1999

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

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