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111 Congressional Blvd., Suite 100, Carmel, IN 46032 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-10-11 |
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 | 2021-09-15 |
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 | 2021-09-15 |
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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Indianapolis | IN | 06/2011 | 08/2021 |
| Schwab Private Client Investment Advisory, Inc. | Indianapolis | IN | 09/2015 | 08/2021 |
| Lincoln Investment | Fort Washington | PA | 09/2021 | Present |
| Capital Analysts | Fort Washingtn | PA | 09/2021 | Present |
SHEPHERD FINANCIAL, LLC POSITION: Senior Wealth Advisor NATURE: Retirement Plan Consulting & Individual Wealth Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 08/09/2021 ADDRESS: 111 Congressional Blvd Suite 100, Carmel IN 46032, United States DESCRIPTION: Responsible for client service to individual wealth management clients. SHEPHERD FINANCIAL INVESTMENT ADVISORY LLC POSITION: Investment Advisor Representative NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/09/2021 ADDRESS: 111 Congressional Blvd Suite 100, Carmel IN 46032, United States DESCRIPTION: Act as Investment Adviser Representative to 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: 08/09/2021 ADDRESS: 111 Congressional Blvd, Ste 100, Carmel IN 46032, United States DESCRIPTION: Sales and service of insurance products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-07 |
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