Victoria Rubino

SHEPHERD KAPLAN

BOSTON, MA 02109-2820

CRD#: 6986486

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Professional summary

Victoria Rubino, who also goes by VIctoria Wu, is a registered financial advisor currently at SHEPHERD KAPLAN LLC located in Boston, Massachusetts.

Victoria is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Victoria has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Victoria Wu

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) - RIA

Click below to view Victoria Rubino'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

June 15, 2026 - Present

SHEPHERD KAPLAN LLC

Office #1: 53 State Street 23rd Floor, Boston, MA 02109-2820

RIA

CRD#: 128244

BOSTON, MA

Past

March 15, 2024 - May 28, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Boston, MA

Past

September 13, 2018 - May 28, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Boston, MA

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".

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 Approved)

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

Massachusetts
(6/15/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/15/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2018

General Securities Representative Examination

Current Firm

SHEPHERD KAPLAN LLC

SHEPHERD KAPLAN & ASSOCIATES, LLC | SHEPHERD KAPLAN LLC

CRD#: 128244 / SEC#: 801-62349

RIA

Registered Investment Advisory firm - (10/20/2003 Approved)

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Contact information

Main Address

53 State Street 23rd Floor, Boston, MA 02109-2820

Mailing Address

Phone number

(617) 896-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SHEPHERD KAPLAN FORM ADV PART II (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,351
AUM (Assets Under Management)	$ 9,398,575,271

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.

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Firm Stability Insights

Victoria Rubino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victoria Rubino's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

SHEPHERD KAPLAN LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2024

Series 63

Date: 11/15/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2018

Current Firm

SHEPHERD KAPLAN LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD KAPLAN LLC

TRUST BUT VERIFY

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