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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-10-28
  • TX RA
    APPROVED
    Since 2013-10-28

Branch Locations

3560 Catclaw Drive, Abilene, TX 79606-8243 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Buffalo Gap TX 10/2013 Present
Previous Registrations
  • 2012-08-09 → 2013-09-05
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 2007-08-29 → 2012-08-03
    Westlake, TX
Other Businesses

1) Shepherd Operations|Investment Related:Yes|3560 Catclaw Dr;Abilene ;Tx;79606;United States|Financial Services|Owner|2014-01-01|HoursPerMonth:More than 40|HoursSpentduringSecurityTrading:8|Entity established exclusively in connection with the rep's independent broker relationship with the firm for liability, protection and tax purposes 2) Everyday Armor LLC|Investment Related: No|3860 Drexmore Rd, Ft Worth, TX, 76244, USA|Retail|Partner|5/12/2017|Less than 20 hour/month - 0 during trading hours|Product Development, inventory management, 3) Shepherd Cattle Co., LLC|Investment Related:No|154 CR 3843;Bridgeport;TX;76426;USA|Agriculture/Forestry/Fishing|Owner|2012-08-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Raise and sell beef cattle

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-16
S63 Uniform Securities Agent State Law Examination 2006-04-06
  • S66 Uniform Combined State Law Examination
    2007-07-16
  • S63 Uniform Securities Agent State Law Examination
    2006-04-06
Other Names
  • Nick Joe Shepherd
  • Nicky Joe Shepherd
  • Nicholas Joe Shepherd
  • Nicholas Joe Shepherd
  • Nick J Shepherd

View on SEC IAPD

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