Brandon Shephard is a registered investment advisor, based in Charlotte, NC, with 9 years of industry experience.
Location
601 S. Tryon Street, Suite 100, Charlotte, NC, 28202
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Brandon supports both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity since January 2023. This involves servicing Ally Invest customers and takes minimal time.
Employment History
Current Registrations
Ally Invest Securities LLCBroker
January 2023 - Present · 3 yrs 3 mos
Ally Invest Advisors
August 2021 - Present · 4 yrs 8 mos
Previous Registrations
Advice and Planning Services
February 2018 - April 2021 · 3 yrs 2 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
February 2018 - April 2021 · 3 yrs 2 mos
PNC InvestmentsBroker
January 2018 - January 2018 · 0 mos
PNC Investments
January 2018 - January 2018 · 0 mos
Wells Fargo Clearing Services, LLC
October 2015 - August 2017 · 1 yr 10 mos
Wells Fargo Clearing Services, LLCBroker
August 2015 - August 2017 · 2 yrs
State Registrations1 state
NC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.