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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Brandon Michael Shephard

Advisor at ALLY INVEST ADVISORS

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:2a8af004-4356-b3d8-d459-4c1d7dc3e24b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 7, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLY INVEST ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 7, 2015
First registration: Oct 7, 2015
Dual registered: yes, broker-dealer
Other names: BRANDON SHEPHARD
IAPD individual key: 6493422

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLY INVEST ADVISORS	Independent wealth	Aug 17, 2021	n/a	yes	CHARLOTTE, NC	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Feb 21, 2018	Apr 30, 2021	no	CHARLOTTE, NC\|Charlotte, NC	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 16, 2018	Jan 30, 2018	no	CHARLOTTE, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 7, 2015	Aug 29, 2017	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICE AND PLANNING SERVICES	ALLY INVEST ADVISORS	Apr 30, 2021	Aug 17, 2021	109	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	ADVICE AND PLANNING SERVICES	Jan 30, 2018	Feb 21, 2018	22	Firm change	Other
WELLS FARGO ADVISORS	PNC WEALTH MANAGEMENT	Aug 29, 2017	Jan 16, 2018	140	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ ALLY INVEST ADVISORSRegistered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Feb 21, 2018 to Apr 30, 2021factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 16, 2018 to Jan 30, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 7, 2015 to Aug 29, 2017factForm ADV

Dated events

No dated event names this entity yet.