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DS

Daniel L. Shepherd

Some features on this profile are disabled
CRD#: 5201047
DS

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.

Daniel Lee Shepherd was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2007. Daniel had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 25, 2024 - April 17, 2025

ALTRUIST FINANCIAL LLC

BD
CRD#: 299274
CULVER CITY, CA
Past

September 24, 2020 - April 18, 2024

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Westlake, TX
Past

July 29, 2016 - September 1, 2020

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Westlake, TX
Past

July 29, 2016 - September 1, 2020

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

November 5, 2015 - July 7, 2016

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Hurst, TX
Past

November 5, 2015 - July 7, 2016

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
WATAUGA, TX
Past

October 23, 2013 - August 4, 2015

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
ADDISON, TX
Past

October 23, 2013 - August 4, 2015

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
ADDISON, TX
Past

June 5, 2013 - October 14, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

June 5, 2013 - October 14, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

May 21, 2007 - October 14, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/3/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/15/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/28/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/11/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

AF
ALTRUIST FINANCIAL LLC
ALTRUIST | ALTRUIST FINANCIAL LLC | ALTRUIST CLEARING

CRD#: 299274 / SEC#: , 8-70244

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3030 S La Cienega Blvd, Culver City, CA 90232
Mailing Address
3030 S La Cienega Blvd, Culver City, CA 90232
Phone number
(888) 510-4660
Established
Delaware since 10/08/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTRUIST CORPMEMBER
BAHADORI, MAZI [NMN]CEO AND CCO5749453
GERINGER, JASONFINOP5781274
JUNKER, DAVID JSENIOR DIRECTOR OF CLEARING OPERATIONS (POO)6073985
MENNOW, ROBERT ALLISONHEAD OF ADVISOR OPERATIONS3070390
WARNER, WESLEY DEESENIOR DIRECTOR OF ADVISOR OPERATIONS5584384

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

ALTRUIST FINANCIAL LLC

CRD#: 299274

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