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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Keith Shepherd is a financial professional with over 27 years of experience in the financial services industry. Brian has a wealth of experience working with individuals and businesses, providing investment advice and financial planning services. Brian is currently registered with Wells Fargo Clearing Services, LLC in New York. Prior to joining Wells Fargo Clearing Services, LLC, Brian worked at Credit Suisse Securities (USA) LLC, Morgan Stanley, and Citigroup Global Markets Inc. Brian is registered with the Financial Industry Regulatory Authority (FINRA) and holds licenses in 24 states. Brian has passed the Series 7, Series 63, Series 31, and SIE exams. He has also passed the Uniform Investment Adviser Law Examination (Series 65).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
01/18/2013 - 03/22/2016
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
06/01/2009 - 02/12/2013
MORGAN STANLEY (NEW YORK NY)
NY
07/14/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 12/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 02/16/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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