John E. Ashcroft

SHEPHERD WEALTH MANAGEMENT

Lititz, PA 17543

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CRD#: 4994425

Professional summary

John Eugene Ashcroft, who also goes by John Ashcroft, is a registered financial advisor currently at SHEPHERD WEALTH MANAGEMENT located in Lititz, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. John has worked at 9 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Ashcroft

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) - RIA

Click below to view John Eugene Ashcroft'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®

None

Experience

Current

December 23, 2022 - Present

SHEPHERD WEALTH MANAGEMENT

Office #1: 27-31 E. Main St. 3rd Floor, Lititz, PA 17543

RIA

CRD#: 312695

Lititz, PA

Past

August 17, 2018 - January 4, 2023

GIRARD PARTNERS LTD.

RIA

CRD#: 39163

Landisville, PA

Past

November 14, 2012 - August 28, 2018

THE BURNEY COMPANY

RIA

CRD#: 106945

FORT MILL, SC

Past

June 10, 2008 - November 26, 2012

CRD#: 13686

LITITZ, PA

Past

September 14, 2005 - March 1, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LANCASTER, PA

Past

August 18, 2005 - March 1, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHEPHERD WEALTH MANAGEMENT

SHEPHERD WEALTH MANAGEMENT | SHEPHERD WEALTH MANAGEMENT LLC | SHEPHERD WEALTH MANAGEMENT LIMITED LIABILITY COMPANY

CRD#: 312695 / SEC#: 801-131565

RIA

Registered Investment Advisory firm - (12/2/2024 Approved)

Florida

Registered Investment Advisory firm - (12/3/2024 Terminated)

Kentucky

Registered Investment Advisory firm - (12/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (12/6/2024 Terminated)

Ohio

Registered Investment Advisory firm - (12/4/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (10/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2024 Terminated)

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).

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

Kentucky
(2/10/2023)

IAR

Ohio
(2/9/2023)

IAR

Pennsylvania
(12/23/2022)

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 66

Date: 9/9/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/17/2005

General Securities Representative Examination

Current Firm

SHEPHERD WEALTH MANAGEMENT

SHEPHERD WEALTH MANAGEMENT | SHEPHERD WEALTH MANAGEMENT LLC | SHEPHERD WEALTH MANAGEMENT LIMITED LIABILITY COMPANY

CRD#: 312695 / SEC#: 801-131565

RIA

Registered Investment Advisory firm - (12/2/2024 Approved)

Florida

Registered Investment Advisory firm - (12/3/2024 Terminated)

Kentucky

Registered Investment Advisory firm - (12/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (12/6/2024 Terminated)

Ohio

Registered Investment Advisory firm - (12/4/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2024 Terminated)

South Carolina

Registered Investment Advisory firm - (10/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2024 Terminated)

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Contact information

Main Address

3181 Linwood Ave. Suite 20, Cincinnati, OH 45208

Mailing Address

Phone number

(513) 630-2664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWM ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	315
AUM (Assets Under Management)	$ 113,601,753

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

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John E. Ashcroft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eugene Ashcroft's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIRARD PARTNERS LTD.

THE BURNEY COMPANY

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RKL PRIVATE WEALTH

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SHEPHERD WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2005

Series 31

Date: 9/22/2005

Series 7

Date: 8/17/2005

Current Firm

SHEPHERD WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD WEALTH MANAGEMENT

TRUST BUT VERIFY

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