linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Philip Lee-wei Shen

Roth Capital Partners, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Philip? Claim Your Profile

About Philip Lee-wei Shen

Philip Shen is a financial professional with over 15 years of experience in the financial services industry. He is currently registered with Roth Capital Partners, LLC and has been with the firm since June 2010. Prior to joining Roth Capital Partners, LLC, Philip worked at J.P. Morgan Securities Inc., Bear, Stearns & Co. Inc., and Ardour Capital Investments, LLC. He holds FINRA Series 7, 86, 87, 63 and SIE licenses. Philip's expertise includes security distribution, research reports, and corporate access. He has experience in various industries and is committed to helping his clients achieve their financial goals.

Firm Information

Philip Shen is currently registered with Roth Capital Partners, LLC. Roth Capital Partners, LLC is a Limited Liability Company formed on January 10, 2001. The firm provides investment advisory services, including distribution of sell-side research reports/corporate access and acting as a solicitor. They have a presence in 52 states and the District of Columbia. Roth Capital Partners, LLC primarily serves investment companies and other investment advisors, with a reported 70 clients in these categories. The firm has disclosed 16 regulatory events and 12 arbitration events.

Not reported

Assets Under Management

Not reported

Total Clients

85

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.

check

(1) distribution of sell-side research reports/corporate access (2) solicitor

(1) distribution of sell-side research reports/corporate access (2) solicitor

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.

check

fixed fees

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

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Philip Shen’s Registration & Firm History

CA

06/10/2010 - Present

Roth Capital Partners, LLC (NEWPORT BEACH CA)

NY

10/01/2008 - 06/03/2009

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

06/02/2008 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

07/02/2007 - 06/02/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

01/03/2007 - 05/25/2007

ARDOUR CAPITAL INVESTMENTS, LLC (LONG BEACH NY)

Not sure if Philip Lee-wei Shen is right for you?

Licenses & Designations

BC

Issued 01/12/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2007

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 05/16/2007

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/02/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Philip Lee-wei Shen.
Not sure if Philip Lee-wei Shen is right for you?