John D. Shepard
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.
John Daniel Shepard JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1962. John had worked at 7 firms and has passed the Series 63, Series 5, Series 000, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1991 - December 21, 2001
IDS LIFE INSURANCE COMPANY
April 30, 1991 - December 21, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1990 - July 9, 1990
FIRST UNION BROKERAGE SERVICES, INC.
December 6, 1984 - February 3, 1990
BA INVESTMENT SERVICES, INC.
April 12, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 1, 1965 - June 17, 1971
GOODBODY & CO. INCORPORATED
December 12, 1962 - December 28, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 000
Date: 12/12/1962
General Securities Principal ExaminationSeries 1
Date: 12/7/1962
Registered Representative ExaminationSeries 12
Date: 11/6/1965
NYSE Branch Manager ExaminationCurrent Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
