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MS

Michael J. Shepherd

GROWTHPOINT TECHNOLOGY PARTNERS
San Francisco, CA 94108
Some features on this profile are disabled
CRD#: 4451118
MS

Professional summary

Michael John Shepherd is a registered financial professional currently at GROWTHPOINT TECHNOLOGY PARTNERS, LLC located in San Francisco, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 3 firms and has passed the Series 63, Series 22TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 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) - BD

Click below to view Michael John Shepherd's 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

January 13, 2006 - Present

GROWTHPOINT TECHNOLOGY PARTNERS, LLC

Office #1: 601 California Street Suite 1250, San Francisco, CA 94108Office #2: 22a St. James Square, London, SW1Y 4JHOffice #3: 601 California Street Ste 1250, San Francisco, CA 94108
BD
CRD#: 137438
San Francisco, CA
Past

September 30, 2002 - March 9, 2005

SVB ALLIANT

BD
CRD#: 121455
SANTA CLARA, CA
Past

September 27, 2001 - November 6, 2002

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

BD
CRD#: 46902
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/13/2006)
RR
Delaware
(5/22/2025)
RR
Florida
(5/22/2025)
RR
Illinois
(11/11/2008)
RR
Massachusetts
(8/22/2006)
RR
Michigan
(3/16/2006)
RR
New Jersey
(5/12/2009)
RR
New York
(8/7/2006)
RR
Ohio
(5/29/2025)
RR
Pennsylvania
(11/11/2008)
RR
Texas
(11/11/2008)
RR
Utah
(5/22/2025)
RR
Virginia
(7/24/2024)
RR
Washington
(11/9/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 7/29/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GT
GROWTHPOINT TECHNOLOGY PARTNERS, LLC
GP TECHNOLOGY PARTNERS, LLC | GROWTHPOINT TECHNOLOGY PARTNERS, LLC

CRD#: 137438 / SEC#: , 8-67086

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
601 California Street Suite 1250, San Francisco, CA 94108
Mailing Address
2208 Seminole Court, Santa Rosa, CA 95405
Phone number
(650) 322-2378
Established
Delaware since 09/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SHEPHERD, MICHAEL JOHNCEO4451118
RAWAT, VIJAY KUMARMANAGING PARTNER4413523
DEROSE, NICHOLAS JAMESCHIEF COMPLIANCE OFFICER, AML OFFICER6007579
WHITE, KARYN MARIEFINOP, CFO1628494

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

GROWTHPOINT TECHNOLOGY PARTNERS, LLC

CRD#: 137438San Francisco, CA 94108

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