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Lei Shen

Realta Equities, Inc.

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About Lei Shen

Lei Shen is a financial professional with over a decade of experience in the industry. Lei has a strong background in securities and investments, holding Series 7, Series 6, and Series 63 licenses. Lei's current affiliation is with Realta Equities, Inc. and previously worked at NI ADVISORS, INDEPENDENT FINANCIAL GROUP, LLC, LPL FINANCIAL LLC, CETERA INVESTMENT SERVICES LLC, PRIMEVEST FINANCIAL SERVICES, INC., and SAGEPOINT FINANCIAL, INC. Lei is registered in California, Nevada, New Jersey and New York and can provide guidance and solutions for individuals and families.

Firm Information

Lei Shen is currently registered with Realta Equities, Inc.. Realta Equities, Inc. is a Corporation formed on January 24, 1989. The firm is registered in 52 states and is also SEC-registered.

Not reported

Assets Under Management

Not reported

Total Clients

56

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.

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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Lei Shen’s Registration & Firm History

CA

07/19/2024 - Present

Realta Equities, Inc. (San Diego CA)

CA

01/02/2020 - 08/15/2024

NI ADVISORS (Orange CA)

CA

01/22/2015 - 01/02/2020

INDEPENDENT FINANCIAL GROUP, LLC (Orange CA)

CA

06/30/2014 - 01/29/2015

LPL FINANCIAL LLC (IRVINE CA)

CA

11/21/2012 - 07/01/2014

CETERA INVESTMENT SERVICES LLC (PASADENA CA)

CA

01/27/2011 - 10/26/2012

PRIMEVEST FINANCIAL SERVICES, INC. (ARTESIA CA)

CA

03/29/2010 - 07/13/2010

SAGEPOINT FINANCIAL, INC. (IRVINE CA)

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Licenses & Designations

BC

Issued 04/12/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/05/2011

Series 7 - General Securities Representative Examination

BC

Issued 03/27/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Lei Shen. Review regulatory record here.
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