Andrew Michael Sheppard

Andrew Michael Sheppard is currently employed as a Broker and/or Investment Adviser at GUGGENHEIM SECURITIES, LLC located at 330 MADISON AVENUE, NEW YORK, NY, 10017.

Andrew Michael Sheppard has worked at GUGGENHEIM SECURITIES, LLC since August 08, 2017

Disclosure History

Andrew Michael Sheppard has 1 Disclosure Event(s).

Date: January 10, 2015
Category: Criminal
Charges: Fraud: Possess Similitude of Driver License
Disposition: Deferred Adjudication
Amended Charges: Fraud-Imperson: Display Possession Fictitious Identification Card
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pre-trial Intervention

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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