JS
John C. Shen
NI ADVISORS
Dedham, MA 02026
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CRD#: 4859035
JS
Professional summary
John C Shen, who also goes by Cong Shen, is a registered financial advisor currently at NI ADVISORS located in Dedham, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cong Shen
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.
(1) Charter Oak Insurance and Financial Services Co. - Non-investment Related - 1185 Washington St Suite 2, Newton MA 02465 - Life Insurance - Life Insurance Agent - Started 06/2016 - 1 Hr/Month; 1 Hour(s) During NAI business hours - Insurance Process. (2) HSA Insurance - Non-investment Related - 135 Wood Road, Braintree, MA 02184 - Health Insurance Enrollment - Health Insurance Agent - Started 02/2020 - 2 Hr/Month; 1 Hour(s) During NAI business hours - Providing health insurance advise to individuals and small business. (3) IAMS INC - Non-investment Related - 505 North 210th St. Elkhorn NE 68022 - Insurance & Fixed Annuities Products - Insurance & Fixed Annuities Agent - Started 10/2021 - 1 Hr/Month; 1 Hour(s) During NAI business hours - Help client enroll purchase insurance and annuities. (4) Penn Mutual Life Insurance - Non-investment Related - 525 Fellowship Rd., Suite 330Mt. Laurel, NJ 08054-3415 - Life Insurance - Life Insurance Agent - Started 10/2021 - 1 Hr/Mo; 1 Hour(s) During NAI business hours - Insurance Process.
CRS (Client Relationship Summary) - RIA
Click below to view John C Shen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John C 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
November 30, 2021 - Present
NI ADVISORS
Office #1: 3 Allied Dr. Suite 303, Dedham, MA 02026RIA
BD
CRD#: 134502
Dedham, MA
Current
November 30, 2021 - Present
NI ADVISORS
Office #1: 3 Allied Dr. Suite 303, Dedham, MA 02026RIA
BD
CRD#: 134502
Dedham, MA
Past
September 22, 2014 - November 19, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
DEDHAM, MA
Past
April 17, 2012 - November 19, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
DEDHAM, MA
Past
December 9, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NORWOOD, MA
Past
December 9, 2004 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NORWOOD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(11/30/2021)
IAR
California(11/30/2021)
RR
Florida(1/21/2022)
IAR
Florida(4/10/2024)
RR
Georgia(1/10/2022)
RR
Illinois(3/3/2022)
RR
Maryland(9/26/2022)
RR
Massachusetts(2/9/2022)
IAR
Massachusetts(7/27/2023)
RR
Michigan(1/18/2022)
RR
Nevada(2/24/2022)
RR
New Hampshire(3/2/2022)
RR
New Jersey(11/30/2021)
IAR
New Jersey(8/4/2023)
RR
New York(11/30/2021)
RR
North Carolina(12/1/2021)
RR
Oregon(1/20/2022)
RR
Pennsylvania(2/14/2022)
RR
Rhode Island(11/30/2021)
IAR
Rhode Island(2/21/2022)
RR
Tennessee(5/4/2023)
RR
Texas(2/10/2022)
RR
Virginia(2/9/2022)
RR
Washington(2/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NI ADVISORS
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
California
Registered Investment Advisory firm - SEC (5/23/2012 Approved)Colorado
Registered Investment Advisory firm - SEC (7/29/2022 Approved)Florida
Registered Investment Advisory firm - SEC (4/9/2024 Approved)Massachusetts
Registered Investment Advisory firm - SEC (1/4/2023 Approved)New Jersey
Registered Investment Advisory firm - SEC (1/11/2023 Approved)Rhode Island
Registered Investment Advisory firm - SEC (2/11/2022 Approved)Texas
Registered Investment Advisory firm - SEC (2/25/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058
Mailing Address
1138 Cadillac Court, Milpitas, CA 95035
Phone number
(510) 306-7777
Established
California since 01/01/2005
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NI ADVISORS
CRD#: 134502Dedham, MA 02026TRUST BUT VERIFY
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