Robert D. Shepherd
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.
Robert David Shepherd, who also goes by Rob Shepherd, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2013. Robert had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2021 - March 19, 2021
DIVERSIFIED WEALTH ADVISORS, LLC
August 9, 2019 - May 4, 2021
BROOKSTONE WEALTH ADVISORS, LLC
February 21, 2018 - August 8, 2019
TAYLOR CAPITAL MANAGEMENT INC.
February 20, 2018 - August 8, 2019
TRIUMPH WEALTH ADVISORS, INC.
February 14, 2017 - March 14, 2018
TRUSTMONT ADVISORY GROUP, INC.
February 14, 2017 - March 14, 2018
TRUSTMONT FINANCIAL GROUP, INC.
April 16, 2015 - August 21, 2015
MSI FINANCIAL SERVICES, INC.
April 7, 2015 - August 21, 2015
MSI FINANCIAL SERVICES, INC.
May 23, 2014 - January 21, 2015
KEEN WEALTH ADVISORS
March 11, 2013 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 14, 2013 - May 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DIVERSIFIED WEALTH ADVISORS, LLC
CRD#: 311903 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 477 |
| AUM (Assets Under Management) | $ 73,000,000 |
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.
