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111 Congressional Blvd., Suite 100, Carmel, IN 46032 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-06-01 |
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 | 2017-08-17 |
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 | 2017-08-17 |
Branch Locations
111 Congressional Blvd - Ste 100, Carmel, IN 46032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Phoenix | AZ | 10/2008 | 08/2017 |
| Sherpherd Financial | Carmel | IN | 08/2017 | Present |
| Lincoln Investment | Fort Washington | PA | 08/2017 | Present |
SHEPHERD FINANCIAL LLC - INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2003 ADDRESS: 111 Congressional Blvd, Suite 100, Carmel IN 46032, United States DESCRIPTION: Sales and service of insurance products SHEPHERD FINANCIAL, LLC POSITION: Partner - Senior Wealth Advisor NATURE: Retirement Plan Consulting & Individual Wealth Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 01/01/2003 ADDRESS: 111 Congressional Boulevar, Suite 100, Carmel IN 46032, United States DESCRIPTION: Responsible for client service to individual wealth management clients SHEPHERD FINANCIAL INVESTMENT ADVISORY, LLC POSITION: IAR NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2003 ADDRESS: 111 Congressional Boulevard, Suite 100, Carmel IN 46032, United States DESCRIPTION: Act as IAR to individual wealth management clients. SHEPHERD FINANCIAL HOLDINGS, LLC POSITION: Member NATURE: Holding Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2003 ADDRESS: 111 Congressional Boulevard,, Suite 100, Carmel IN 46032, United States DESCRIPTION: Holding company for Shepherd Financial, LLCand Shepherd Financial Investment Advisory, LLC. Involved in the day-to-day operations and decision making processes for Shepherd Financial and Shepherd Financial Investment Advisory
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-20 |
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