LESLIE S. BALLANTINE

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC | SENIOR ASSOCIATE

Louisville, KY 40241

Some features on this profile are disabled

CRD#: 7206183

Professional summary

LESLIE SHOCKLEY BALLANTINE, who also goes by Leslie Shockley Ballantine, Shockley Renee Leslie, Leslie R Shockley, Leslie Renee Shockley, is a registered financial advisor currently at SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC located in Louisville, Kentucky.

LESLIE is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. LESLIE has worked at 5 firms and has passed the Series 65 exam.

Biography

Leslie is an Associate in the Louisville office, where she works with plan sponsors to design competitive retirement plans and financial wellness programs for their employees.

Prior to joining Cerity Partners, Leslie served as a Retirement Plan Advisor at ARGI Financial Group. Before ARGI, she worked at an investment management firm conducting due diligence for actively managed mutual funds. In this role, she also worked in an investment fiduciary capacity for corporate retirement plan clients.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Shockley Ballantine | Shockley Renee Leslie | Leslie R Shockley | Leslie Renee Shockley

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.

Friends of the Zoo Board, Non Inv Related, Volunteer for Zoo events, 1-5 hours per month Ballantine Baby, Owner creating hand-made children's toys, 1-5 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view LESLIE SHOCKLEY BALLANTINE'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

Education

Murray State University

B.S. - Finance

Experience

Current

July 18, 2025 - Present

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

Office #1: 9600 Brownsboro Rd Suite 300, Louisville, KY 40241

RIA

CRD#: 288623

Louisville, KY

Past

April 30, 2023 - June 2, 2025

CERITY PARTNERS LLC

RIA

CRD#: 151559

LOUISVILLE, KY

Past

April 25, 2023 - June 2, 2025

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

RIA

CRD#: 164198

LOUISVILLE, KY

Past

August 9, 2021 - April 24, 2023

CERITY PARTNERS OCIO LLC

RIA

CRD#: 151916

LOUISVILLE, KY

Past

January 7, 2020 - May 7, 2021

STEGNER INVESTMENT ASSOCIATES INC

RIA

CRD#: 107480

Louisville, KY

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 FINANCIAL INVESTMENT ADVISORY LLC

CRD#: 288623 / SEC#: 801-112009

RIA

Registered Investment Advisory firm - (11/14/2017 Approved)

Ohio

Registered Investment Advisory firm - (10/12/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Kentucky
(7/18/2025)

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: 11/13/2017

Uniform Investment Adviser Law Examination

Current Firm

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

CRD#: 288623 / SEC#: 801-112009

RIA

Registered Investment Advisory firm - (11/14/2017 Approved)

Ohio

Registered Investment Advisory firm - (10/12/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

111 Congressional Blvd., Suite 100, Carmel, IN 46032

Mailing Address

Phone number

(317) 975-5033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC ADV PART 2A (2/18/2025)

SHEPHERD FINANCIAL INVESTMENT ADVISORY WRAP BROCHURE (2/18/2025)

SHEPHERD FINANCIAL ADVISORY PLAN PARTICIPANT BROCHURE (2/18/2025)

Regulatory assets under management

Total Number of Accounts	2,231
AUM (Assets Under Management)	$ 4,946,760,100

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.

Contact information

Similar Advisors

Trystan Downey

CERITY PARTNERS LLC

IAR

LOUISVILLE, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

LESLIE S. BALLANTINE

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view LESLIE SHOCKLEY BALLANTINE's CRS (Customer Relationship Summary).

Certified licenses

Education

Murray State University

Experience

CERITY PARTNERS LLC

CERITY PARTNERS RETIREMENT PLAN CONSULTANTS

CERITY PARTNERS OCIO LLC

STEGNER INVESTMENT ASSOCIATES INC

Primary Firm SEC Registration

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2017

Current Firm

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC

TRUST BUT VERIFY

Contact information

Similar Advisors