Frank C. Shepard

S&A FINANCIAL SERVICES

OVERLAND PARK, KS 66210

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CRD#: 836342

Professional summary

Frank Curtis Shepard is a registered financial advisor currently at S&A FINANCIAL SERVICES, INC. located in Overland Park, Kansas.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Frank has worked at 6 firms and has passed the Series 63, SIE, Series 2 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)S&S BUSINESS PROPERTIES,8655 COLLEGE BLVD.,OVERLAND PARK,KS 66210; NON-INVESTMENT RELATED; START DATE: 2/15/06; POSITION: PARTNER; DEVOTING 2 HRS/WKLY NONE DURING TRADING HRS. 2)S&A FINANCIAL SERVICES INC, 8655 COLLEGE BLVD, OVERLAND PARK, KS 66210. BEGAN 3/1994 AS PRESIDENT AND CCO OF RIA. INVESTMENT RELATED. DEVOTES 30 HR/WK- 30 HR/TRADING. 3)S&S BUSINESS PROPERTIES LLC, 8655 COLLEGE BLVD, OVERLAND PARK, KS 66210. BEGAN 7/2006 AS 25% OWNER OF BUILDING. NOT INVESTMENT RELATED. DEVOTES 3 HR/MO-NONE DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Curtis Shepard'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

Experience

Current

June 17, 1993 - Present

S&A FINANCIAL SERVICES, INC.

Office #1: 8655 College Blvd, Overland Park, KS 66210

RIA

CRD#: 110471

OVERLAND PARK, KS

Past

August 7, 1998 - April 7, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

July 27, 1993 - August 7, 1998

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

December 28, 1981 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

April 18, 1977 - July 16, 1993

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 18, 1977 - July 16, 1993

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

S&A FINANCIAL SERVICES, INC.

RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA

Registered Investment Advisory firm - (2/10/2000 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

Kansas
(6/17/1993)

IAR

Texas
(12/12/2021)

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

Series 63

Date: 1/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 3/7/1975

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 26

Date: 3/24/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

S&A FINANCIAL SERVICES, INC.

RICHARDS FINANCIAL SERVICES | SHEPARD & ASSOCIATES INC | SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC. | S&A FINANCIAL SERVICES, INC.

CRD#: 110471 / SEC#: 801-57170

RIA

Registered Investment Advisory firm - (2/10/2000 Approved)

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Contact information

Main Address

8655 College Blvd., Suite 100, Overland Park, KS 66210-1835

Mailing Address

Phone number

(913) 362-2712

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	1,448
AUM (Assets Under Management)	$ 321,680,770

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

xxxxx@xxxx.xxx

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Firm Stability Insights

Frank C. Shepard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Curtis Shepard's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

ENERIC FINANCIAL SERVICES, INC.

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

S&A FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/19/1984

SIE

Date: 4/7/2017

Series 2

Date: 3/7/1975

Series 26

Date: 3/24/1998

Current Firm

S&A FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

S&A FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Contact information

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