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111 Congressional Blvd., Suite 100, Carmel, IN 46032 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-03 |
| IN | RA | APPROVED | 2017-12-07 |
Branch Locations
111 Congressional Blvd., Suite 100, Carmel, IN 46032 • United States
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2015-01-02 |
Branch Locations
111 Congressional Blvd. Suite 100, Carmel, IN 46032 • United States
Columbus, IN • United States
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2015-01-02 |
Branch Locations
111 Congressional Blvd. Suite 100, Carmel, IN 46032 • United States
Columbus, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| W. Andrew Denny & Company, Inc. | Columbus | IN | 08/2001 | Present |
| Nfp Securities, Inc | Columbus | IN | 08/2009 | Present |
| Shepherd Insurance & Financial Services | Carmel | IN | 06/2010 | Present |
| Shepherd Financial Investment Advisory Llc | Carmel | IN | 12/2014 | Present |
SHEPHERD FINANCIAL, LLC POSITION: CGO, Founding Partner NATURE: Retirement Plan Consulting, Individual Wealth Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 01/01/2015 ADDRESS: 111 Congressional Blvd, Ste 100, Carmel IN 46032, United States DESCRIPTION: Responsible for day-to-day operations, new business development and client service to retirement plan and individual wealth management clients. SHEPHERD FINANCIAL, LLC - INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2015 ADDRESS: 111 Congressional Blvd, Ste 100, Carmel IN 46032, United States DESCRIPTION: Sales and service of insurance products W. ANDREW DENNY & COMPANY, INC. POSITION: Owner, Agent NATURE: Fixed Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2001 ADDRESS: 333 8th Street, Columbus IN 47201, United States DESCRIPTION: service of existing insurance policies ALL SOUTHERN HOLDINGS, LLC POSITION: Manager/Owner NATURE: Real Estate Holding Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/10/2022 ADDRESS: 930 S Country Club Rd., Columbus IN 47201, United States DESCRIPTION: the LLC is a holding entity for estate planning and asset protection purposes for a family condo we own in FL. SHEPHERD FINANCIAL HOLDINGS, LLC POSITION: Member NATURE: Holding Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/09/2017 ADDRESS: 111 Congressional Boulevard, Suite 100, Carmel IN 46032, United States DESCRIPTION: Involved in day-to-day operations and decision making for Shepherd Financial and Shepherd Financial Investment Advisory SHEPHERD FINANCIAL INVESTMENT ADVISORY, LLC POSITION: IAR NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/01/2017 ADDRESS: 111 Congressional Blvd, Suite 100, Carmel IN 46032, United States DESCRIPTION: Act as an IAR to retirement plan clients and individual wealth management clients
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-22 |
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