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Ivan A. Shepard

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CRD#: 421376
IS

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.

Ivan Albert Shepard was a registered financial professional .

Ivan is a previously registered financial professional and started their career in finance in 1979. Ivan had worked at 10 firms and has passed the Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 5, 1998 - December 7, 2000

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

September 10, 1997 - August 5, 1998

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
CARMEL, IN
Past

February 12, 1997 - September 2, 1997

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

March 10, 1994 - March 15, 1995

STEIN, SHORE SECURITIES, INC.

BD
CRD#: 31294
ORLANDO, FL
Past

November 18, 1992 - October 14, 1993

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

October 3, 1988 - December 2, 1992

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

June 25, 1985 - June 15, 1988

WADDELL & REED

BD
CRD#: 866
Past

October 9, 1984 - June 27, 1985

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

January 31, 1983 - December 16, 1983

FIRST CLEVELAND INVESTMENTS, INC.

BD
CRD#: 3928
Past

June 20, 1979 - January 6, 1983

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 5/7/1966
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 9/3/1968
General Securities Principal Examination

Current Firm

CS
CONSECO SECURITIES, INC.
CONSECO FINANCIAL SERVICES, INC. | MDS SECURITIES, A DIVISION OF CONSECO SECURITIES, INC. | MDS SECURITIES INCORPORATED | CONSECO SECURITIES, INC.

CRD#: 29367 / SEC#: , 8-44287

BD
Terminated by SEC on 09/29/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSECO INTERIM HOLDINGS CORPORATION (CIHC)SHAREHOLDER
BARRA, DAVID JOSEPHSENIOR VICE PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL4399587
CULLEMFIORE, MARGARET ANNVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & ASSISTANT SECRETARY/CHIEF COMPLIANCE OFFICER703791

Disclosures

Regulatory Event1

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

CONSECO SECURITIES, INC.

CRD#: 29367

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