David W. Shepherd

SHEPHERD WEALTH & RETIREMENT LLC

Tucson, AZ 85715

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CRD#: 4336383

Professional summary

David Wayne Shepherd JR, CFP® is a registered financial advisor currently at SHEPHERD WEALTH & RETIREMENT LLC located in Tucson, Arizona.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.

6/26/07 - NON-VARIABLE INSURANCE/ RETIREMENT FINANCIAL SERVICES, INC./ 1% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Shepherd JR'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

September 30, 2019 - Present

SHEPHERD WEALTH & RETIREMENT LLC

Office #1: 6300 E. El Dorado Plaza A200, Tucson, AZ 85715

RIA

CRD#: 305645

Tucson, AZ

Past

January 10, 2019 - September 26, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUCSON, AZ

Past

April 30, 2009 - December 21, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

TUCSON, AZ

Past

July 12, 2007 - March 26, 2020

SHEPHERD WEALTH & RETIREMENT

RIA

CRD#: 116151

TUCSON, AZ

Past

September 5, 2001 - September 26, 2019

LPL FINANCIAL LLC

CRD#: 6413

TUCSON, AZ

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

Arizona
(11/5/2019)

IAR

Texas
(9/6/2022)

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

State Security Law Exam

IAR

Series 65

Date: 1/31/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/2007

General Securities Principal Examination

Current Firm

SHEPHERD WEALTH & RETIREMENT LLC

CRD#: 305645 / SEC#: 801-117418

RIA

Registered Investment Advisory firm - (8/4/2022 Terminated)

Arizona

Registered Investment Advisory firm - (7/27/2022 Approved)

Texas

Registered Investment Advisory firm - (7/28/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6300 E. El Dorado Plaza A200, Tucson, AZ 85715

Mailing Address

Phone number

(520) 325-1600

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 86,164,912

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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Advisor Monitoring

Firm Stability Insights

David W. Shepherd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne Shepherd JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SHEPHERD WEALTH & RETIREMENT

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2007

Series 63

Date: 10/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2006

Series 6

Date: 9/4/2001

Series 24

Date: 8/31/2007

Current Firm

SHEPHERD WEALTH & RETIREMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHEPHERD WEALTH & RETIREMENT LLC

TRUST BUT VERIFY

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