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GS

Gregory C. Shepard

S&A FINANCIAL SERVICES
Overland Park, KS 66210-1835
Some features on this profile are disabled
CRD#: 4126464
GS

Professional summary

Gregory Curtis Shepard is a registered financial advisor currently at S&A FINANCIAL SERVICES, INC. located in Overland Park, Kansas.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Gregory has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Curtis Shepard'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

April 30, 1997 - Present

S&A FINANCIAL SERVICES, INC.

Office #1: 8655 College Blvd., Suite 100, Overland Park, KS 66210-1835
RIA
CRD#: 110471
Overland Park, KS
Past

February 8, 2013 - April 25, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
OVERLAND PARK, KS
Past

January 7, 2002 - April 25, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
OVERLAND PARK, KS
Past

January 22, 2001 - November 7, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 15, 2000 - June 1, 2001

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA

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".
SF
S&A FINANCIAL SERVICES, INC.
RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA
Registered Investment Advisory firm - (2/10/2000 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
Kansas
(11/22/2016)
IAR
Texas
(12/13/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/25/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/2002
General Securities Principal Examination

Current Firm

SF
S&A FINANCIAL SERVICES, INC.
RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA
Registered Investment Advisory firm - (2/10/2000 Approved)
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Contact information

Main Address
8655 College Blvd., Suite 100, Overland Park, KS 66210-1835
Mailing Address
Phone number
(913) 362-2712
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts1,448
AUM (Assets Under Management)$ 321,680,770

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.

Company Information

S&A FINANCIAL SERVICES, INC.

CRD#: 110471Overland Park, KS 66210-1835

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Contact information

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