CS
Cory E. Shepherd
SOUND FINANCIAL
LAKE STEVENS, WA
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CRD#: 5628922
CS
Professional summary
Cory Edwin Shepherd, CFP®, ChFC® is a registered financial advisor currently at SOUND FINANCIAL, LLC located in Lake Stevens, Washington.
Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Cory has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Author Published Cape Not Required in 2017. Available for sale on Amazon. Start: 03/03/2016 Hrs per month - Tot/Bus: 10/2 Not investment related 2. Sound Financial Group Officer - coordinating staff, leading underwriting processes Start: 09/01/2012 Address: PO Box 1012 Snohomish, WA 98291 40 bus hrs per month Investment related 3. Authors; Your Business Your Wealth; Investment related: Yes; Location: 15408 Main St., Suite 107; Mill Creek, WA 98012; Description of the business: Paul & Cory are publishing a book entitled "Your Business Your Wealth", they will be selling copies of the book on Amazon, as well as conducting speaking engagements related to the book.; Started: 2019-12-01; During outside trading hours: 1 - Expected total yearly compensation derived from the business: 1 4. Cory Shepherd is the Managing Member of Lantern Tree Media Development Group, LLC. It is Located in 1000 PECAN DR FAIRVIEW, TX. It is Investment related. Lantern Tree Media Development Group, LLC is focused on media property development. This company will acquire media properties, whether that be books, original stories, or screenplays, with the intent to create a packaged project that can enter into production. Cory Shepherd's role includes assessing and approving projects. Cory Shepherd shares beneficial ownership of Lantern Tree Media Development Group, LLC with two advisory clients of SFG. SFG will not give Cory Sheperd or the additional owners any preferential treatment over other SFG clients.
CRS (Client Relationship Summary) - RIA
Click below to view Cory Edwin Shepherd'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®
Experience
Current
April 27, 2018 - Present
SOUND FINANCIAL, LLC
RIA
CRD#: 292271
LAKE STEVENS, WA
Past
April 11, 2013 - May 3, 2018
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MILL CREEK, WA
Past
October 2, 2012 - May 3, 2018
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MILL CREEK, WA
Past
May 20, 2009 - August 28, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BELLEVUE, WA
Past
April 22, 2009 - August 28, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BELLEVUE, WA
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
SOUND FINANCIAL, LLC
SOUND FINANCIAL GROUP | SOUND FINANCIAL, LLC | SOUND FINANCIAL, INC. | SOUND FINANCIAL INC.
CRD#: 292271 / SEC#: 801-125761
RIA
Registered Investment Advisory firm - (5/27/2022 Approved)California
Registered Investment Advisory firm - (10/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (9/16/2022 Terminated)Illinois
Registered Investment Advisory firm - (9/14/2022 Terminated)Nevada
Registered Investment Advisory firm - (10/14/2022 Terminated)Texas
Registered Investment Advisory firm - (9/14/2022 Terminated)Washington
Registered Investment Advisory firm - (10/31/2022 Terminated)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
California(6/26/2018)
IAR
Colorado(6/8/2018)
IAR
Illinois(5/1/2018)
IAR
Nevada(6/12/2018)
IAR
New Hampshire(5/27/2022)
IAR
Texas(5/7/2018)
IAR
Washington(4/27/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SF
SOUND FINANCIAL, LLC
SOUND FINANCIAL GROUP | SOUND FINANCIAL, LLC | SOUND FINANCIAL, INC. | SOUND FINANCIAL INC.
CRD#: 292271 / SEC#: 801-125761
RIA
Registered Investment Advisory firm - (5/27/2022 Approved)California
Registered Investment Advisory firm - (10/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (9/16/2022 Terminated)Illinois
Registered Investment Advisory firm - (9/14/2022 Terminated)Nevada
Registered Investment Advisory firm - (10/14/2022 Terminated)Texas
Registered Investment Advisory firm - (9/14/2022 Terminated)Washington
Registered Investment Advisory firm - (10/31/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Lake Stevens, WA
Mailing Address
Phone number
(425) 332-6568
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 169,835,413 |
Red Flags
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