| Advisor Profile |
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| Name: |
Gregory Shepardson, CFP® |
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| Disclaimer |
| Securities offered through Royal Alliance Associates, Inc., Member FINRA/SIPC |
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Business Description |
Our mission is to empower our clients to feel more comfortable and understand their ever changing financial situation. We work to develop comprehensive financial stability and wealth through diversified portfolios.
We use prudent policies and good business practices always recognizing that quality service and support strengthens the long-term relationships we seek with our clients.
When our clients succeed - we too will succeed |
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General Information |
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| Insurance License#: |
PR227775
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| Name of Broker/Dealer: |
Royal Alliance Associates, LLC
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
CA, CO, IL, IN, IA, MI, MN, MS, MO, NC, WI
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| Years of Experience in Financial Services: |
14
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| Number of Years with Current Firm: |
6
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| I work with the following types of clients: |
Businesses, Individual Investors
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Services |
| Investment Types: |
REITS, Alternative Investments, Mutual Funds, Commodities, Exchange Traded Funds (ETFs), Annuities, Stocks, Bonds, Insurance, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 6, Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Annuity, Variable Life, Disability, Long Term Care, Health, Variable Annuity, Life
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| Financial Organization Memberships: |
Financial Services Institute, Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
Association of Christian Schools International
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Hourly, Flat Fee, Based on Assets, Commissions
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| Fee % Based on Assets: |
.4 to 1.25
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| Prepared By: |
Gregory Shepardson, CFP® |
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