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SH

Shao C. He

LEERINK PARTNERS LLC
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5864967
SH

Professional summary

Shao Cheng He, who also goes by Mike He, is a registered financial professional currently at LEERINK PARTNERS LLC located in New York, New York.

Shao is registered as a RR (Registered Representative) and started their career in finance in 2011. Shao has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike He

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 Shao Cheng He'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

May 31, 2022 - Present

LEERINK PARTNERS LLC

Office #1: 1301 Avenue Of The Americas 5th Floor, New York, NY 10019
BD
CRD#: 39011
NEW YORK, NY
Past

June 14, 2021 - April 11, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

October 23, 2018 - October 31, 2019

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

August 14, 2018 - June 6, 2022

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA
Past

February 25, 2014 - March 10, 2017

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

July 18, 2011 - February 20, 2014

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
New York
(5/31/2022)
RR
Virginia
(5/31/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/9/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 3/17/2012
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 8/11/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/16/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/11/2018
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LP
LEERINK PARTNERS LLC
LEERINK | SVB SECURITIES LLC | SVB LEERINK LLC | LEERINK, SWANN, GARRITY, SOLLAMI, YAFFE & WYNN, INC. | LEERINK SWANN LLC | LEERINK SWANN & COMPANY | LEERINK SWANN & CO., INC. | LEERINK PARTNERS, LLC | LEERINK PARTNERS LLC | LEERINK PARTNERS | LEERINK & CO., INC.

CRD#: 39011 / SEC#: 801-68264, 8-48535

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
53 State Street 40th Floor, Boston, MA, 02109
Mailing Address
53 State Street 40th Floor 40th Floor, Boston, MA, 02109
Phone number
(617) 918-4900
Established
Delaware since 07/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LEERINK ADV PART 2A 03 2012 (3/24/2012)
LEERINK WRAP BROCHURE 03 2012 (3/24/2012)

Direct owners and executive officers

NamePositionCRD#
LEERINK INTERMEDIATE HOLDINGS LLCMEMBER
CASEY, KEVIN MICHAELCHIEF COMPLIANCE OFFICER4754440
DAVIDSON, THOMAS ADAMSENIOR MANAGING DIRECTOR2248233
DUBIN, DANIEL BARRYSENIOR MANAGING DIRECTOR3231063
GENTILE, JOSEPH ROBERTCHIEF ADMINISTRATIVE OFFICER2545927
HEINEMAN, STEVEN PGENERAL COUNSEL5386950
JURKIEWICZ, GREGG MARTINFINOP4440135
LEERINK, JEFFREY ALANCEO1718986
OLSON, ERIC PATRICKPRINCIPAL OPERATIONS OFFICER2542584

Disclosures

Regulatory Event6

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.

Company Information

LEERINK PARTNERS LLC

CRD#: 39011New York, NY 10019

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