Unclaimed Profile

John Sheppard Swanson

SHEPPARD WEALTH MANAGEMENT, LLC·BEND, Oregon

Series 7, Series 66Clean record24 years registeredSHEPPARD WEALTH MANAGEMENT, LLC

5 NW MINNESOTA AVE, BEND, OR 97703CRD# 3070826Firm CRD# 171444

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Sheppard Swanson · BEND, OR

Registration

CRD #3070826 · SHEPPARD WEALTH MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

MERCER GLOBAL ADVISORS INC.

Jan 2025 – present

HIGHTOWER ADVISORS, LLC

Sep 2022 – Jan 2025

Bend, OR

SHEPPARD WEALTH MANAGEMENT, LLC

Jun 2014 – Nov 2022

BEND, OR

FREESTONE CAPITAL MANAGEMENT, LLC

Jan 2012 – Jun 2014

BEND, OR

WELLS FARGO ADVISORS, LLC

Jan 2011 – Jan 2012

BEND, OR

WELLS FARGO INVESTMENTS, LLC

Sep 2005 – Jan 2011

BEND, OR

WELLS FARGO INVESTMENTS, LLC

May 2002 – Sep 2005

BEND, OR

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · May 10, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SHEPPARD WEALTH MANAGEMENT, LLC

CRD 171444 · SEC 801-109989

AUM

$175M

Regulatory assets under management

Employees

411 client accounts

Services offered by SHEPPARD WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at SHEPPARD WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does John Sheppard Swanson offer?

John Sheppard Swanson specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BEND, Oregon for a consultation.

What are John Sheppard Swanson's credentials?

John Sheppard Swanson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Sheppard Swanson located?

John Sheppard Swanson is based in BEND, Oregon, working with SHEPPARD WEALTH MANAGEMENT, LLC. Their office serves clients in the BEND metropolitan area and surrounding communities.

How does John Sheppard Swanson charge for services?

John Sheppard Swanson's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SHEPPARD WEALTH MANAGEMENT, LLC?

SHEPPARD WEALTH MANAGEMENT, LLC has approximately 3 employees and manages $175M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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