Stephen A. Shepherd
Also appears in the source record as: Stephen Alan Shepherd; Steve Shepherd
Registration & licensing
As recorded in SEC IAPD / FINRA BrokerCheck
- Broker-dealer registration
- Active
- Investment adviser registration
- Active
- Exams passed (5)
- Series 65Series 63SIESeries 3Series 7
- Registered states (53)
- Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
- Years in the industry (source record)
- 36
- Professional designations
- Not yet retrieved from the source record
Disclosures
Copied from the official record
The official record for CRD 2086695 contains one or more disclosure events as of Aug 20, 2026.
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Current firm
From the firm record
- Firm
- Fidelity Brokerage Services LLC
- Firm CRD
- 7784
- SEC number
- Not yet retrieved from the source record
- Assets under management
- Not yet retrieved from the source record
- Website
- Not yet retrieved from the source record
- Phone
- Not yet retrieved from the source record
- Firm location
- Not yet retrieved from the source record
Employment history (19)
From the source registration record · current first
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Mar 31, 2025 → present
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Jun 24, 2021 → present
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start not retrieved → present
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Fidelity Personal And Workplace AdvisorsIA capacityJul 20, 2021 → Mar 31, 2025
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U.S. Bancorp Investments, Inc.IA capacityMay 7, 2019 → Mar 19, 2020
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U.S. Bancorp Investments, Inc.BD capacityApr 30, 2019 → Mar 19, 2020
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Nationwide Investment Advisors, LLCIA capacityJun 17, 2018 → Apr 29, 2019
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Nationwide Investment Services CorporationBD capacityJun 15, 2018 → Apr 29, 2019
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Questar Capital CorporationBD capacityDec 22, 2017 → Jun 29, 2018
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Questar Asset Management, Inc.IA capacityDec 22, 2017 → Jun 29, 2018
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Lpl Financial LLCIA capacityOct 21, 2015 → Nov 29, 2017
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Lpl Financial LLCBD capacityOct 20, 2015 → Nov 29, 2017
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Usaa Financial Planning ServicesIA capacityMar 2, 2015 → Oct 29, 2015
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Usaa Financial Advisors, Inc.BD capacityJan 20, 2015 → Oct 29, 2015
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Woodbury Financial Services, Inc.IA capacitySep 24, 2009 → Dec 18, 2014
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Woodbury Financial Services, Inc.BD capacitySep 18, 2009 → Dec 18, 2014
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Oppenheimer & Co. Inc.IA capacityDec 15, 2005 → Sep 30, 2009
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Oppenheimer & Co. Inc.BD capacityAug 16, 2005 → Sep 30, 2009
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Morgan Stanley Dw Inc.BD capacityOct 1, 1990 → Aug 24, 2005
Source & corrections
Where this page comes from
Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.
Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.