Robert V. 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.
Robert Volney Shepard was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 7 firms and has passed the Series 63, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1992 - January 21, 2005
AMERICAN HERITAGE SECURITIES, INC.
January 10, 1991 - January 1, 1992
L&M FINANCIAL SERVICES
February 14, 1979 - December 31, 1988
XTENT FINANCIAL GROUP, INC.
November 30, 1976 - March 18, 1979
DALEY & COMPANY
February 7, 1974 - April 17, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
July 2, 1973 - April 6, 1974
DUPONT WALSTON, INCORPORATED
March 27, 1969 - July 2, 1973
DUPONT GLORE FORGAN 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 1
Date: 7/3/1961
Registered Representative ExaminationF04
Date: 1/13/1979
Financial Principal ExaminationCurrent Firm
AMERICAN HERITAGE SECURITIES, INC.
CRD#: 29678 / SEC#: , 8-44466
Contact information
FINRA licenses (10 States and Territories)
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.
