John C Shen
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cong Shen
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
NI ADVISORS
Contact Information
Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058Mailing Address
1138 Cadillac Court, Milpitas, CA 95035Phone Number
(510) 306-7777Established
California since 01/01/2005Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
16FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$3,560,000Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
(11/30/2021)
(11/30/2021)
(1/21/2022)
(4/10/2024)
(1/10/2022)
(3/3/2022)
(9/26/2022)
(2/9/2022)
(7/27/2023)
(1/18/2022)
(2/24/2022)
(3/2/2022)
(11/30/2021)
(8/4/2023)
(11/30/2021)
(12/1/2021)
(1/20/2022)
(2/14/2022)
(11/30/2021)
(2/21/2022)
(5/4/2023)
(2/10/2022)
(2/9/2022)
(2/15/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2004About the Series 6 examSRO Registrations
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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).
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