Philip L. Shen

ROTH CAPITAL PARTNERS

Newport Beach, CA 92660

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CRD#: 4424009

Professional summary

Philip Lee-wei Shen is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in Newport Beach, California.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2007. Philip has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Lee-wei Shen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 10, 2010 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 888 San Clemente Suite 400, Newport Beach, CA 92660

RIA

CRD#: 15407

Newport Beach, CA

Past

October 1, 2008 - June 3, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 2, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

July 2, 2007 - June 2, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 3, 2007 - May 25, 2007

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

LONG BEACH, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/10/2010)

Oregon
(4/9/2020)

Exams

State Security Law Exam

Series 63

Date: 1/12/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 9/21/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 5/16/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/2/2007

General Securities Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407 / SEC#: , 8-32129

California

Registered Investment Advisory firm - SEC (5/7/2001 Approved)

Florida

Registered Investment Advisory firm - SEC (6/28/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Mailing Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Phone number

(949) 720-5700

Established

California since 01/10/2001

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CR FINANCIAL HOLDINGS, INC.	MEMBER
AKDENIZ, NAZAN	COO	2522215
GUREWITZ, AARON MICHAEL	CO-CHIEF EXECUTIVE OFFICER	2244273
LAMARCHE, KRISTIN DIANE	CHIEF COMPLIANCE OFFICER	2582393
MORK, JONATHAN ANDREW	MANAGER	4349125
PANAGIOTIDIS, ALEX	ROSFP	4582559
PLATT, RICHARD L	GENERAL COUNSEL	2059118
ROTH, BYRON CLARENCE	CHAIRMAN/MANAGER	1768553
ROTH, GORDON JAMES	CHIEF FINANCIAL OFFICER/FINOP/MANAGER	3167226
ROTH, THEODORE DAVID	VICE CHAIRMAN	4615931
SHETH, SAGAR ARVIND	CO-CHIEF EXECUTIVE OFFICER	5209865

Disclosures

Regulatory Event	16
Arbitration	12

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Philip L. Shen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Lee-wei Shen's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

ARDOUR CAPITAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/2007

SIE

Date: 10/1/2018

Series 86

Date: 9/21/2007

Series 87

Date: 5/16/2007

Series 7

Date: 1/2/2007

Cboe BZX Exchange, Inc.

FINRA

Nasdaq Stock Market

Current Firm

ROTH CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTH CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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