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SUZANNE MARIE SHEPARD
CRD#: 2743145
IA
B
MORGAN STANLEYCRD#: 149777 105 West View Road
5th Floor
Colchester, VT 05446
5th Floor
Colchester, VT 05446
0
Disclosures
28
Years of Experience
View By:
State Registrations
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Arizona 6/1/2009
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New York 6/1/2009
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California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 1/14/2014
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Ohio 11/13/2024
B
Connecticut 6/1/2009
B
Oregon 7/22/2014
B
District of Columbia 5/11/2012
B
Pennsylvania 1/5/2010
B
Florida 6/1/2009
B
Rhode Island 2/7/2025
B
Georgia 9/9/2011
B
South Carolina 6/1/2009
B
Illinois 5/17/2024
B
Tennessee 8/18/2009
B
Kansas 10/8/2024
B
Texas 8/19/2022
B
Maine 6/5/2019
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Texas 9/6/2022
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Maryland 6/1/2009
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Vermont 6/1/2009
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Massachusetts 6/1/2009
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Vermont 6/1/2009
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Minnesota 4/17/2024
B
Virginia 2/23/2010
B
New Hampshire 6/1/2009
B
Washington 1/19/2024
B
New Mexico 4/2/2024
B
Wisconsin 10/26/2015
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/17/1999 - 06/01/2009 | BURLINGTON, VT | |
B | 11/17/1997 - 06/01/2009 | BURLINGTON, VT | |
B | 12/18/1996 - 11/03/1997 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.