ES
Edward A. Shepherd
Some features on this profile are disabled
CRD#: 7196779
ES
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.
Edward Alan Shepherd, who also goes by Edward Shepherd, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2020. Edward had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Edward 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.
1) MACRAE & SHEPHERD CPAS LLP POSITION: Partner NATURE: I am a Certified Public Accountant and help individuals and businesses comply with their tax and information reporting requirements. I prepare personal income tax returns, corporate tax returns, partnership tax returns, sales tax returns, payroll tax returns. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 07/09/2021 ADDRESS: 41689 Enterprise Circle North Ste 210, Temecula CA 92590, United States DESCRIPTION: I prepare tax and information returns for individuals and businesses. I oversee staff who help prepare the tax returns. I meet with client to discuss their income and expense information as it relates to income tax compliance filings. 2) THE SOLUTIONS EDUCATION FOUNDATION POSITION: Chief Executive Officer NATURE: Help people understand personal financial budgeting. Help encourage people to make good financial decisions. Help people understand the habits that hurt them financially. Help young people make good career choices. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2021; ADDRESS: 24641 Washington Ave,, Murrieta CA 92562, United States DESCRIPTION: I am currently not active in this activity. The entity is in good standing with the state, but has not activity yet and will not have any activity during the next 12 months. 3) REDFORD MORTGAGE CAPITAL POSITION: Individual NATURE: The business helps borrowers to get the best possible home loan, by reviewing income, reviewing credit, reviewing debt to income ratios. The loans range from purchase loans, refinanced loans, home equity lines of credit, construction loans. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/06/2020; ADDRESS: 24641 Washington Ave,, Murrieta CA 92562, United States DESCRIPTION: I help home buyers compare home loan options and select the most advantageous home loan available. I collect information from borrowers, review credit reports, calculate ratios, and bring the loan package to the most appropriate lender. I do not approve loans and am not required to have E&O insurance. 4) TINY HOME PERMITS LLC POSITION: Managing Member NATURE: Entity is Inactive. When and if it becomes active, the business purpose is to assist homeowners to obtain construction building permits. This is a building permit processing service. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 24641 Washington Ave, Murrieta CA 92562, United States DESCRIPTION: Entity is Inactive. I have no duties and am not involved. 5) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES. POSITION: Sole Proprietor NATURE: Life Insurance Sales. Annuity Sales. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 12/14/2022 ADDRESS: 24641 Washington Ave,, Murrieta CA 92562, United States DESCRIPTION: Review clients financial needs. Identify solutions to clients financial needs for insurance or investment income. Help client acquire insurance coverage and investments.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 8, 2022 - August 30, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Murrieta, CA
Past
October 31, 2022 - August 30, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Murrieta, CA
Past
January 22, 2020 - March 5, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Murrieta, CA
Past
January 2, 2020 - March 5, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Murrieta, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/27/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
AI
AVANTAX INVESTMENT SERVICES, INC.
1ST GLOBAL | HD VEST INVESTMENT SERVICES | HD VEST | H.D. VEST INVESTMENT SERVICES | H.D. VEST INVESTMENT SECURITIES, INC. | AVANTAX WEALTH MANAGEMENT | AVANTAX INVESTMENT SERVICES, INC. | AVANTAX
CRD#: 13686 / SEC#: , 8-29533
BD
Termination Requested by SEC on 09/26/2025
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Contact information
Main Address
Mailing Address
Phone number
Established
Texas since 04/13/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
