Matthew C. Shepard
Professional summary
Matthew Carl Shepard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Matthew had worked at 7 firms, which includes RIVER WEALTH MANAGEMENT LLC, SECURIAN FINANCIAL SERVICES INC., CARTY HARDING & HEARN INC., TRANSAMERICA FINANCIAL ADVISORS LLC, INVESTMENT ADVISORS INTERNATIONAL INC., WORLD GROUP SECURITIES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2017 - August 11, 2017
RIVER WEALTH MANAGEMENT, LLC
February 17, 2015 - October 19, 2016
SECURIAN FINANCIAL SERVICES, INC.
February 13, 2015 - October 19, 2016
SECURIAN FINANCIAL SERVICES, INC.
September 4, 2014 - October 8, 2014
CARTY, HARDING & HEARN, INC.
October 4, 2012 - June 26, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 28, 2012 - June 26, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 18, 2010 - November 30, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 13, 2010 - November 30, 2011
WORLD GROUP SECURITIES, INC.
October 5, 2009 - November 25, 2009
EDWARD JONES
September 21, 2009 - November 25, 2009
EDWARD JONES
February 4, 2009 - September 22, 2009
CARTY, HARDING & HEARN, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RIVER WEALTH MANAGEMENT, LLC
CRD#: 170781 / SEC#:
Contact information
Red Flags
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