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Francis Shepard
35 Years of Experience
Pismo Beach, CA
2 DisclosuresBroker
Francis Shepard is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Pismo Beach, CA, with 35 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
1222 Price St, Pismo Beach, CA, 93449
Get directionsHistory
Regulatory History (2)
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Customer Dispute
February 2005Denied
Customer Dispute
January 2002Denied
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 6 mos
Raymond James Financial Services, INC.
August 2005 - Present · 20 yrs 11 mos
Raymond James Financial Services, INC.Broker
August 2005 - Present · 20 yrs 11 mos
Previous Registrations
Raymond James Financial Services
August 2005 - January 2009 · 3 yrs 5 mos
Wm Financial Services, INC.Broker
January 1999 - August 2005 · 6 yrs 7 mos
Griffin Financial ServicesBroker
October 1997 - January 1999 · 1 yr 3 mos
Great Western Financial Securities CorporationBroker
March 1992 - September 1997 · 5 yrs 6 mos
American Express Financial Advisors INC.Broker
April 1990 - March 1992 · 1 yr 11 mos
Ids Life Insurance CompanyBroker
April 1990 - March 1992 · 1 yr 11 mos
State Registrations11 states
AZCAIDMENCNVNYORTXUTWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.