Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Shepard has been in the financial services industry since 1990 and is currently registered with Raymond James Financial Services Advisors, Inc. as a registered representative and investment advisor representative in the state of California. Before joining Raymond James, Francis was with WM Financial Services, Inc. and Griffin Financial Services, among others. Francis is a Series 7, Series 9, Series 10, Series 24, and Series 63 licensed professional. Francis's areas of specialization include retirement planning, insurance, and financial planning.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (PISMO BEACH CA)
CA
01/01/1999 - 08/05/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
10/24/1997 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
CA
03/20/1992 - 09/25/1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
MN
04/24/1990 - 03/25/1992
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/24/1990 - 03/25/1992
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 03/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/24/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/26/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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