CS
Clifford G. Shepherdson
DISTRIBUTION SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 4902647
CS
Professional summary
Clifford Grant Shepherdson, who also goes by Cliff Shepherdson, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in El Segundo, California.
Clifford is registered as a RR (Registered Representative) and started their career in finance in 2005. Clifford has worked at 5 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cliff Shepherdson
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.
CRS (Client Relationship Summary) - BD
Click below to view Clifford Grant Shepherdson'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®
NoneExperience
Current
March 24, 2016 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 2101 East El Segundo Blvd Suite 301, El Segundo, CA 90245BD
CRD#: 25938
El Segundo, CA
Past
May 7, 2009 - February 10, 2011
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
February 9, 2009 - April 21, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
November 10, 2005 - February 7, 2007
GRAIL SECURITIES, LLC
BD
CRD#: 136258
NEW YORK, NY
Past
January 21, 2005 - February 14, 2005
NATIONAL BANK OF CANADA FINANCIAL INC.
BD
CRD#: 22698
NEW YORK, NY
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
Alabama(5/31/2016)
RR
Alaska(5/31/2016)
RR
Arizona(5/31/2016)
RR
Arkansas(5/31/2016)
RR
California(5/31/2016)
RR
Colorado(5/31/2016)
RR
Connecticut(5/31/2016)
RR
Delaware(5/31/2016)
RR
District of Columbia(5/31/2016)
RR
Florida(5/31/2016)
RR
Georgia(5/31/2016)
RR
Hawaii(5/31/2016)
RR
Idaho(5/31/2016)
RR
Illinois(5/31/2016)
RR
Indiana(5/31/2016)
RR
Iowa(5/31/2016)
RR
Kansas(5/31/2016)
RR
Kentucky(5/31/2016)
RR
Louisiana(5/31/2016)
RR
Maine(5/31/2016)
RR
Maryland(5/31/2016)
RR
Massachusetts(5/31/2016)
RR
Michigan(5/31/2016)
RR
Minnesota(5/31/2016)
RR
Mississippi(5/31/2016)
RR
Missouri(5/31/2016)
RR
Montana(5/31/2016)
RR
Nebraska(5/31/2016)
RR
Nevada(5/31/2016)
RR
New Hampshire(5/31/2016)
RR
New Jersey(5/31/2016)
RR
New Mexico(5/31/2016)
RR
New York(5/31/2016)
RR
North Carolina(5/31/2016)
RR
North Dakota(5/31/2016)
RR
Ohio(5/31/2016)
RR
Oklahoma(5/31/2016)
RR
Oregon(5/31/2016)
RR
Pennsylvania(5/31/2016)
RR
Puerto Rico(5/31/2016)
RR
Rhode Island(5/31/2016)
RR
South Carolina(5/31/2016)
RR
South Dakota(5/31/2016)
RR
Tennessee(6/2/2016)
RR
Texas(5/31/2016)
RR
Utah(5/31/2016)
RR
Vermont(5/31/2016)
RR
Virgin Islands(5/31/2016)
RR
Virginia(5/31/2016)
RR
Washington(5/31/2016)
RR
West Virginia(5/31/2016)
RR
Wisconsin(5/31/2016)
RR
Wyoming(5/31/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/18/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
