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JS

John R. Shepherd

ALPS DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5849851
JS

Professional summary

John Richard Shepherd III, who also goes by John Shepard, Jack Shepherd, John Richard Shepherd III, John Shepherd, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Shepard | Jack Shepherd | John Richard Shepherd Iii | John Shepherd

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) - BD

Click below to view John Richard Shepherd III'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®
None

Experience

Current

October 18, 2023 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 650 Madison Avenue 3rd Floor, New York, NY 10022
BD
CRD#: 16853
New York, NY
Past

June 10, 2021 - October 3, 2023

LEAVENWORTH CAPITAL

RIA
CRD#: 314464
Lake Oswego, OR
Past

July 22, 2020 - March 24, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
West Linn, OR
Past

January 9, 2020 - March 24, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
West Linn, OR
Past

November 13, 2018 - December 4, 2019

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 25, 2016 - October 31, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

May 6, 2014 - March 29, 2016

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

June 13, 2013 - April 25, 2014

DIRECTED SERVICES LLC

BD
CRD#: 21675
DES MOINES, IA
Past

March 13, 2012 - March 26, 2013

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

March 17, 2011 - January 9, 2012

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME

State Registrations and Notice Filings

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

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
Alaska
(10/20/2023)
RR
Arizona
(5/30/2025)
RR
California
(11/6/2023)
RR
Hawaii
(5/30/2025)
RR
Idaho
(10/20/2023)
RR
Montana
(10/23/2023)
RR
Nevada
(10/20/2023)
RR
Oregon
(10/18/2023)
RR
Utah
(10/20/2023)
RR
Washington
(11/1/2023)
RR
Wyoming
(9/19/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/21/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/22/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/16/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

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

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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

ALPS DISTRIBUTORS, INC.

CRD#: 16853New York, NY 10022

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