JL
James R. Lister
SHEPHERD FINANCIAL PARTNERS
Winchester, MA 01890
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CRD#: 5350592
JL
Professional summary
James Robert Lister JR., who also goes by James Robert Lister, Jimmy Robert Lister Jr, is a registered financial advisor currently at SHEPHERD FINANCIAL PARTNERS, LLC located in Winchester, Massachusetts and LPL FINANCIAL LLC located in Charlestown, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Robert Lister | Jimmy Robert Lister Jr
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.
1. 04/27/2015: No Business Name - Real Estate Rental - INV REL - 175 Fulton St Medford, MA 02155 - Start 04/23/2015 - 3 Hr/Mo; 0 Hours During Securities Trading - Three Unit Rental Property 2. 08/26/2016: Shepherd Financial Partners - Registered Investment Advisor Hybrid - DBA: (Hybrid) Shepherd Financial Partners - INV REL - 1004 Main St Winchester, MA 01890 - Start 04/25/2016 - 40 Hr/Mo; 2 Hours During Securities Trading - I provide investment advisory services through Shepherd Financial Partners, an independent investment advisor firm. I started this business activity in 4/15/16. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/19/2016: Lister Wealth Management, Inc. - Business Entity For Tax/Investment Purposes Only - INV REL - 197 8th St. Suite 2000, Boston MA 02129 - Start 07/01/2014 - No Time Spent 4. 10/24/2016: Shepherd Financial Partners - DBA for LPL Business (entity for LPL business) - INV REL - 197 8th St Suite 2000 Boston, MA 02129 - Start 04/25/2016 - 40 Hr/Mo; 10 Hours During Securities Trading. 5. 12/19/2016: First American Insurance Underwriters - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/06/2016 - 5 Hours Per Month During Securities Trading - Life Insurance or Fixed Annuity. 6. 04/28/2022 - No Business Name - Investment Related - Boston, MA 02129 - Real Estate Rental - Started 07/19/2019 - 1 Hour Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Lister JR.'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
April 26, 2016 - Present
SHEPHERD FINANCIAL PARTNERS, LLC
Office #1: 1004 Main Street, Winchester, MA 01890Office #2: 197 8th Street, Suite 2000, Boston, MA 02129RIA
CRD#: 169093
Winchester, MA
Current
January 20, 2011 - Present
LPL FINANCIAL LLC
Office #1: 197 8th St Ste 2000, Charlestown, MA 02129Office #2: 1004 Main Street, Winchester, MA 01890RIA
BD
CRD#: 6413
Charlestown, MA
Past
April 19, 2011 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOBURN, MA
Past
September 27, 2007 - January 20, 2011
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
WOBURN, MA
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".
SF
SHEPHERD FINANCIAL PARTNERS, LLC
SHEPHERD FINANCIAL PARTNERS, LLC | SPECIAL NEEDS FINANCIAL PLANNING
CRD#: 169093 / SEC#: 801-106533
RIA
Registered Investment Advisory firm - (8/24/2015 Approved)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.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
District of Columbia(6/25/2024)
RR
Florida(6/10/2014)
RR
Maine(1/20/2011)
RR
Massachusetts(1/20/2011)
IAR
Massachusetts(4/26/2016)
RR
New Hampshire(1/20/2011)
RR
North Carolina(6/12/2025)
IAR
Texas(12/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SHEPHERD FINANCIAL PARTNERS, LLC
SHEPHERD FINANCIAL PARTNERS, LLC | SPECIAL NEEDS FINANCIAL PLANNING
CRD#: 169093 / SEC#: 801-106533
RIA
Registered Investment Advisory firm - (8/24/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1004 Main Street, Winchester, MA 01890
Mailing Address
Phone number
(781) 756-1804
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,779 |
| AUM (Assets Under Management) | $ 1,138,180,837 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SHEPHERD FINANCIAL PARTNERS, LLC
CRD#: 169093Winchester, MA 01890TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
