STEVE KEITH SHEPHERD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1441 ROUTE 22, BREWSTER, NY, 10509.

STEVE KEITH SHEPHERD has worked at LPL FINANCIAL LLC since February 13, 2015

Disclosure History

STEVE KEITH SHEPHERD has 1 Disclosure Event(s).

Date: February 22, 2016
Category: Customer Dispute
Allegations: Customer alleges registered representative made misrepresentations regarding mutual fund transactions.

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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