Frank A. Shepard

ALPHASOURCE CAPITAL SECURITIES LLC

East Quogue, NY 11942

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CRD#: 864242

Professional summary

Frank Alden Shepard JR, who also goes by Frank A Shepard, is a registered financial professional currently at ALPHASOURCE CAPITAL SECURITIES LLC located in East Quogue, New York.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1979. Frank has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank A Shepard

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) - BD

Click below to view Frank Alden Shepard JR'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

April 2, 2014 - Present

ALPHASOURCE CAPITAL SECURITIES LLC

Office #1: 35 Walker Avenue, East Quogue, NY 11942

CRD#: 145875

East Quogue, NY

Past

September 23, 2011 - July 31, 2012

KOTA GLOBAL SECURITIES INC.

CRD#: 28137

NEW YORK, NY

Past

December 8, 2010 - September 1, 2011

M. R. BEAL & COMPANY

CRD#: 22088

NEW YORK, NY

Past

December 11, 2007 - July 6, 2010

CHART GROUP ADVISORS, LLC

CRD#: 118814

NEW YORK, NY

Past

March 28, 2003 - August 20, 2003

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

April 14, 1998 - May 21, 2001

UTENDAHL CAPITAL PARTNERS, L.P.

CRD#: 30115

NEW YORK, NY

Past

October 9, 1996 - July 18, 1997

HUDSON KNIGHT SECURITIES, INC.

CRD#: 31222

Past

June 26, 1984 - September 26, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 2, 1979 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/12/2014)

New York
(2/20/2015)

Exams

State Security Law Exam

Series 63

Date: 2/1/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/17/1999

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALPHASOURCE CAPITAL SECURITIES LLC

CRD#: 145875 / SEC#: , 8-67759

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

35 Walker Avenue, East Quogue, NY 11942

Mailing Address

35 Walker Avenue, New York, NY 11942

Phone number

(212) 308-4500

Established

New York since 06/28/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LECANN, NOELLE-CLAIRE	PRESIDENT, MANAGING MEMBER, GSP, CCO, FINOP	1826421

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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Advisor Monitoring

Firm Stability Insights

Frank A. Shepard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

KOTA GLOBAL SECURITIES INC.

M. R. BEAL & COMPANY

CHART GROUP ADVISORS, LLC

THE WILLIAMS CAPITAL GROUP, L.P.

UTENDAHL CAPITAL PARTNERS, L.P.

HUDSON KNIGHT SECURITIES, INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/2011

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1979

Series 53

Date: 2/17/1999

FINRA

Current Firm

ALPHASOURCE CAPITAL SECURITIES LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ALPHASOURCE CAPITAL SECURITIES LLC

TRUST BUT VERIFY

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