Marc Anthony Shepherd

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 06/2019
  Massachusetts Mutual Life Insurance Co
  Charlotte, NC
• 03/2015 → 06/2019
  Mml Investors Services Llc
  Charlotte, NC
• 06/2019 → Present
  Principal Life Insurance Company
  Concord, NC
• 06/2019 → Present
  Principal Securities Inc
  Concord, NC
• 04/2020 → Present
  Optima Financial Services
  Concord, NC
• 09/2021 → 11/2023
  Union Financial, Inc
  Concord, NC

Previous Registrations

• 2016-02-02 → 2019-06-06
  Mml Investors Services, Llc
  Charlotte, NC

Other Businesses

***Outside Insurance; Investment Related; Charlotte, NC; Agent; Sell Fixed annuities, LTC, Life, Group, Health, DI; Start Date: 05/16/2019; 8 hrs per month; 8 during trading hours. INSURANCE POSITION: Medicare Supplement & Medicare Advantage NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 09/16/2022 ADDRESS: 656 Poplar View Drive NW, Concord NC 28027, United States DESCRIPTION: Will provide Medicare Supplement, and Medicare Advantage products to clients age 65+. HOA - COURTYARDS AT POPLAR TENT POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022 ADDRESS: 656 POPLAR VIEW DR NW, concord NC 28027, United States DESCRIPTION: Member of HOA

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-12-17
• S63 Uniform Securities Agent State Law Examination
  2015-08-20