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Diane M. Nelson

SHEPHERD WEALTH PARTNERS
Waxhaw, NC
Some features on this profile are disabled
CRD#: 7696832
DN

Professional summary

Diane Mcavoy Nelson, who also goes by Diane Elizabeth Mcavoy, is a registered financial advisor currently at SHEPHERD WEALTH PARTNERS located in Waxhaw, North Carolina.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Diane has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Diane Elizabeth Mcavoy

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 Diane Mcavoy Nelson'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

March 6, 2026 - Present

SHEPHERD WEALTH PARTNERS

RIA
CRD#: 288920
Waxhaw, NC
Past

July 24, 2023 - February 13, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ASHEVILLE, NC

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
North Carolina
(3/6/2026)
IAR
South Carolina
(3/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/6/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/24/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2023
Securities Industry Essentials Examination

Current Firm

SW
SHEPHERD WEALTH PARTNERS
SHEPHERD ADVISORY GROUP LLC | SHEPHERD WEALTH PARTNERS, LLC | SHEPHERD WEALTH PARTNERS

CRD#: 288920 / SEC#:

North Carolina
Registered Investment Advisory firm - (6/20/2017 Approved)
South Carolina
Registered Investment Advisory firm - (6/30/2017 Approved)
Texas
Registered Investment Advisory firm - (3/11/2024 Terminated)
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Contact information

Main Address
Waxhaw, NC
Mailing Address
Phone number
(704) 443-8455
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts259
AUM (Assets Under Management)$ 75,702,570

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

SHEPHERD WEALTH PARTNERS

CRD#: 288920Waxhaw, NC

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