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John C Shen

NI Advisors

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About John C Shen

John C Shen is a financial advisor with Ni Advisors, a firm with offices in Dedham, MA and Milpitas, CA. John has been working in the financial services industry since December 19, 2004. John is registered with the state of California, Florida, Massachusetts, New Jersey and Rhode Island. John has a Series 6, 7, 63, and 66 license. John specializes in financial planning, portfolio management for individuals, and selection of other advisors. John is committed to providing clients with personalized financial advice and helping them achieve their financial goals.

Firm Information

John Shen is currently registered with NI Advisors. NI Advisors is a registered investment advisor headquartered in California with a focus on financial planning, portfolio management for individuals, and selection of other advisors. They have been operating since 2005 and serve high-net-worth individuals and other individuals. They manage approximately $3.6 million in assets across 7 accounts.

$3.56M

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share fees with third party asset managers

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John Shen’s Registration & Firm History

MA

02/21/2022 - Present

NI Advisors (Dedham MA)

MA

04/17/2012 - 11/19/2021

LPL FINANCIAL LLC (DEDHAM MA)

MA

12/09/2004 - 04/30/2012

METLIFE SECURITIES INC. (NORWOOD MA)

MA

12/09/2004 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (NORWOOD MA)

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Licenses & Designations

BOTH

Issued 08/05/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/04/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/26/2014

Series 7 - General Securities Representative Examination

BC

Issued 11/11/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for John C Shen. Review regulatory record here.
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