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JS

John R. Shepherd

FORESIDE FUND SERVICES
Portland, ME 04101
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, John Shepherd III, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.

John is registered as a RR (Registered Representative) and started their career in finance in 2011. John has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

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

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).
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

November 14, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101
BD
CRD#: 46106
Portland, ME
Past

October 18, 2023 - November 14, 2025

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
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
Alabama
(1/2/2026)
RR
Alaska
(1/6/2026)
RR
Arizona
(11/20/2025)
RR
Arkansas
(1/12/2026)
RR
California
(11/14/2025)
RR
Colorado
(11/17/2025)
RR
Connecticut
(1/5/2026)
RR
Delaware
(1/5/2026)
RR
District of Columbia
(1/2/2026)
RR
Florida
(1/2/2026)
RR
Georgia
(1/5/2026)
RR
Hawaii
(1/8/2026)
RR
Idaho
(1/5/2026)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/21/2026)
RR
Iowa
(1/2/2026)
RR
Kansas
(1/5/2026)
RR
Kentucky
(1/2/2026)
RR
Louisiana
(1/5/2026)
RR
Maine
(1/2/2026)
RR
Maryland
(1/5/2026)
RR
Massachusetts
(1/5/2026)
RR
Michigan
(1/2/2026)
RR
Minnesota
(1/2/2026)
RR
Mississippi
(1/2/2026)
RR
Missouri
(1/2/2026)
RR
Montana
(1/2/2026)
RR
Nebraska
(1/2/2026)
RR
Nevada
(1/5/2026)
RR
New Hampshire
(1/5/2026)
RR
New Jersey
(1/2/2026)
RR
New Mexico
(1/5/2026)
RR
New York
(1/2/2026)
RR
North Carolina
(1/5/2026)
RR
North Dakota
(1/13/2026)
RR
Ohio
(1/2/2026)
RR
Oklahoma
(1/2/2026)
RR
Oregon
(11/16/2025)
RR
Pennsylvania
(1/6/2026)
RR
Rhode Island
(1/5/2026)
RR
South Carolina
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Tennessee
(1/8/2026)
RR
Texas
(1/2/2026)
RR
Utah
(1/6/2026)
RR
Vermont
(1/2/2026)
RR
Virginia
(1/2/2026)
RR
Washington
(1/2/2026)
RR
West Virginia
(1/8/2026)
RR
Wisconsin
(1/5/2026)
RR
Wyoming
(1/2/2026)

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

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106Portland, ME 04101

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