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Thomas Owen Shepard

Investment Adviser Representative at FLAGSHIP HARBOR ADVISORS, LLC

Yarmouth, MECRD #2786981Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
28 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 28 states
ArizonaCaliforniaConnecticutFloridaGeorgiaHawaiiIllinoisKentuckyMaineMassachusettsMissouriNew HampshireNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 8/23/1996
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/13/1996
Series 4
Registered Options Principal Examination
Passed 1/5/2007
Series 53
Municipal Securities Principal Examination
Passed 3/5/2003
Series 24
General Securities Principal Examination
Passed 8/1/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Flagship Harbor Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FLAGSHIP HARBOR ADVISORS, LLCCurrent
1/16/2013Yarmouth, ME
LPL FINANCIAL LLC
12/21/20116/12/2013Harpswell, ME
AMERIPRISE FINANCIAL SERVICES, INC.
12/11/200212/23/2011Yarmouth, ME

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Owen Shepard has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Thomas Owen Shepard - Financial Advisor in Yarmouth, ME | AdvisorFinder