Mark Stephen Shepherd

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2008-12-09
TX	RA	APPROVED	2008-12-05

CA RA
APPROVED

Since 2008-12-09
TX RA
APPROVED

Since 2008-12-05

Branch Locations

Fig Garden Financial Center 5200 North Palm Suite 101, Fresno, CA 93704-9874 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Fresno	CA	12/2008	Present

12/2008 → Present

Ubs Financial Services Inc

Fresno, CA

Previous Registrations

2007-04-02 → 2008-12-09

Morgan Stanley & Co. Llc

Fresno, CA
1998-08-24 → 2007-04-02

Morgan Stanley Dw Inc.

Fresno, CA

Fresno, CA

Other Businesses

MY WIFE IS CURRENTLY ACTIVE AS A LONG DISTANCE MKTG REP FOR EXCEL TELECOMMUNICATIONS. ALTHOUGH WE SIGHNED UP AS A COUPLE, THIS VENTURE IS SOMETHING THAT IS INTENDED FOR MY WIFE TO PURSUE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-03-03
S63	Uniform Securities Agent State Law Examination	1997-02-19

S65 Uniform Investment Adviser Law Examination

1997-03-03
S63 Uniform Securities Agent State Law Examination

1997-02-19

View on SEC IAPD