Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Anthony Shepherd is a financial advisor at Principal Securities, Inc. Marc has been in the financial services industry for over 10 years. Marc is registered with the Securities and Exchange Commission (SEC) and the North Carolina Securities Division. Marc has passed the Series 6, Series 7, Series 63 and Series 65 exams. Marc specializes in financial planning, portfolio management, and pension consulting. Marc is also a licensed agent selling fixed annuities, long-term care insurance, life insurance, group insurance, health insurance, and disability insurance.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
06/07/2019 - Present
Principal Securities, Inc. (CONCORD NC)
NC
05/04/2015 - 06/06/2019
MML INVESTORS SERVICES, LLC (CHARLOTTE NC)
NC
05/08/2006 - 11/10/2006
WACHOVIA SECURITIES, LLC (GASTONIA NC)
MO
10/01/2000 - 09/20/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
05/30/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 12/17/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2015
Series 7 - General Securities Representative Examination
BC
Issued 05/06/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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