John C Shen

Current Employers

Ni Advisors

1138 Cadillac Court, Milpitas, CA 95035-3058 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-04-10
NJ	RA	APPROVED	2023-08-04
MA	RA	APPROVED	2023-07-27
RI	RA	APPROVED	2022-02-21
CA	RA	APPROVED	2021-11-30

FL RA
APPROVED

Since 2024-04-10
NJ RA
APPROVED

Since 2023-08-04
MA RA
APPROVED

Since 2023-07-27
RI RA
APPROVED

Since 2022-02-21
CA RA
APPROVED

Since 2021-11-30

Branch Locations

3 Allied Dr. Suite 303, Dedham, MA 02026 • United States

1138 Cadillac Court, Milpitas, CA 95035 • UNITED STATES

1138 Cadillac Court, Milpitas, CA 95035-3058 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Dedham	MA	04/2012	10/2021
Ni Advisors	Milpitas	CA	11/2021	Present
Charter Oak Insurance And Financial Services Co.	Newton	MA	06/2016	Present
Hsa Insurance	Braintree	MA	02/2020	Present
Iams Inc	Elkhorn	NE	10/2021	Present
Penn Mutual Life Insurance	Laurel	MA	10/2021	Present

04/2012 → 10/2021

Lpl Financial Llc

Dedham, MA
11/2021 → Present

Ni Advisors

Milpitas, CA
06/2016 → Present

Charter Oak Insurance And Financial Services Co.

Newton, MA
02/2020 → Present

Hsa Insurance

Braintree, MA
10/2021 → Present

Iams Inc

Elkhorn, NE
10/2021 → Present

Penn Mutual Life Insurance

Laurel, MA

Previous Registrations

2014-09-22 → 2021-11-19

Lpl Financial Llc

Needham, MA

Dedham, MA

Other Businesses

(1) Charter Oak Insurance and Financial Services Co. - Non-investment Related - 1185 Washington St Suite 2, Newton MA 02465 - Life Insurance - Life Insurance Agent - Started 06/2016 - 1 Hr/Month; 1 Hour(s) During NAI business hours - Insurance Process. (2) HSA Insurance - Non-investment Related - 135 Wood Road, Braintree, MA 02184 - Health Insurance Enrollment - Health Insurance Agent - Started 02/2020 - 2 Hr/Month; 1 Hour(s) During NAI business hours - Providing health insurance advise to individuals and small business. (3) IAMS INC - Non-investment Related - 505 North 210th St. Elkhorn NE 68022 - Insurance & Fixed Annuities Products - Insurance & Fixed Annuities Agent - Started 10/2021 - 1 Hr/Month; 1 Hour(s) During NAI business hours - Help client enroll purchase insurance and annuities. (4) Penn Mutual Life Insurance - Non-investment Related - 525 Fellowship Rd., Suite 330Mt. Laurel, NJ 08054-3415 - Life Insurance - Life Insurance Agent - Started 10/2021 - 1 Hr/Mo; 1 Hour(s) During NAI business hours - Insurance Process.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-08-05
S63	Uniform Securities Agent State Law Examination	2005-03-04

S66 Uniform Combined State Law Examination

2014-08-05
S63 Uniform Securities Agent State Law Examination

2005-03-04

Other Names

Cong Shen

View on SEC IAPD