Andrew M. Shepard
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.
Andrew Michael Shepard, CFA was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2008. Andrew had worked at 6 firms and has passed the Series 63, Series 65, Series 66, Series 82TO, SIE, Series 82, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - May 17, 2024
ICAPITAL MARKETS LLC
December 16, 2022 - November 30, 2023
ICAPITAL SECURITIES, LLC
June 26, 2018 - July 29, 2019
NEW WORLD ADVISORS LLC
February 14, 2018 - August 7, 2020
TERRANOVA CAPITAL EQUITIES, INC
January 17, 2012 - December 31, 2017
RINET COMPANY, LLC
March 4, 2008 - July 2, 2008
WESTON SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 82TO
Date: 3/13/2022
Limited Representative-Private Securities OfferingsCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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