HS
Howard C. Shen
INVESCO DISTRIBUTORS
Hingham, MA
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CRD#: 4570427
HS
Professional summary
Howard Chiang Shen is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Hingham, Massachusetts.
Howard is registered as a RR (Registered Representative) and started their career in finance in 2000. Howard has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Howard Chiang Shen's 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®
NoneExperience
Current
August 4, 2021 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Hingham, MA
Past
March 12, 2021 - July 30, 2021
RED CLAY WEALTH ADVISORS LLC
RIA
CRD#: 313030
MONTEREY PARK, CA
Past
July 7, 2015 - November 16, 2020
DFA SECURITIES LLC
BD
CRD#: 10292
SANTA MONICA, CA
Past
February 26, 2008 - April 1, 2011
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
March 3, 2000 - March 24, 2006
ROXBURY CAPITAL MANAGEMENT LLC
RIA
CRD#: 108832
SANTA MONICA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/4/2021)
RR
Alaska(8/4/2021)
RR
Arizona(8/4/2021)
RR
Arkansas(8/4/2021)
RR
California(8/4/2021)
RR
Colorado(8/4/2021)
RR
Connecticut(8/4/2021)
RR
Delaware(8/4/2021)
RR
District of Columbia(8/4/2021)
RR
Florida(8/4/2021)
RR
Georgia(8/4/2021)
RR
Hawaii(8/4/2021)
RR
Idaho(8/4/2021)
RR
Illinois(8/4/2021)
RR
Indiana(8/4/2021)
RR
Iowa(8/4/2021)
RR
Kansas(8/4/2021)
RR
Kentucky(8/4/2021)
RR
Louisiana(8/4/2021)
RR
Maine(8/4/2021)
RR
Maryland(8/4/2021)
RR
Massachusetts(8/4/2021)
RR
Michigan(8/4/2021)
RR
Minnesota(8/4/2021)
RR
Mississippi(8/4/2021)
RR
Missouri(8/4/2021)
RR
Montana(8/4/2021)
RR
Nebraska(8/4/2021)
RR
Nevada(8/4/2021)
RR
New Hampshire(8/4/2021)
RR
New Jersey(8/4/2021)
RR
New Mexico(8/4/2021)
RR
New York(8/4/2021)
RR
North Carolina(8/4/2021)
RR
North Dakota(8/4/2021)
RR
Ohio(8/4/2021)
RR
Oklahoma(8/4/2021)
RR
Oregon(8/4/2021)
RR
Pennsylvania(8/4/2021)
RR
Puerto Rico(8/4/2021)
RR
Rhode Island(8/4/2021)
RR
South Carolina(8/4/2021)
RR
South Dakota(8/4/2021)
RR
Tennessee(8/4/2021)
RR
Texas(8/4/2021)
RR
Utah(8/4/2021)
RR
Vermont(8/4/2021)
RR
Virgin Islands(8/4/2021)
RR
Virginia(8/4/2021)
RR
Washington(8/4/2021)
RR
West Virginia(8/4/2021)
RR
Wisconsin(8/4/2021)
RR
Wyoming(8/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
