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111 Congressional Blvd., Suite 100, Carmel, IN 46032 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-29 |
| IN | RA | APPROVED | 2024-03-01 |
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 | 2023-09-21 |
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 | 2023-09-21 |
Branch Locations
111 Congressional Blvd. Suite 100, Carmel, IN 46032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American United Life | Indianapolis | IN | 09/2016 | 12/2016 |
| Oneamerica Securities | Indianapolis | IN | 09/2016 | 12/2016 |
| First Allied Securities | San Diego | CA | 12/2016 | 09/2022 |
| First Allied Advisory Services, Inc. | San Diego | CA | 12/2016 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 09/2023 |
| Cetera Advisors Llc | Indianapolis | IN | 09/2022 | 09/2023 |
| Lincoln Investment | Fort Wshington | PA | 09/2023 | Present |
| Capital Analysts | Fort Washington | PA | 09/2023 | Present |
SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC POSITION: IAR NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/18/2023 ADDRESS: 111 Congressional Blvd., Suite 100, Carmel IN 46032, United States DESCRIPTION: Act as IAR to retirement plan clients. SHEPHERD FINANCIAL, LLC - INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/18/2023 ADDRESS: 111 Congressional Boulevard, Suite 100, Carmel IN 46032, United States DESCRIPTION: Sales and service of insurance products SHEPHERD FINANCIAL, LLC POSITION: Retirement Plan FP NATURE: Retirement Plan Consulting & Individual Wealth Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 09/18/2023 ADDRESS: 111 Congressional Boulevard, Suite 100, Carmel IN 46032, United States DESCRIPTION: Responsible for client service to retirement plan clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-20 |
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