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JN

Joseph G. Nelson

NI ADVISORS
MILPITAS, CA 95035
CRD#: 2180626
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JN
Joseph Gordon NelsonNI ADVISORS

Professional summary

Joseph Gordon Nelson, who also goes by Joe Nelson, is a registered financial professional currently at NI ADVISORS located in Milpitas, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Nelson

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 Joseph Gordon Nelson'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

June 1, 2026 - Present

NI ADVISORS

Office #1: 1138 Cadillac Court, Milpitas, CA 95035
RIA
BD
CRD#: 134502
MILPITAS, CA
Past

January 22, 2025 - June 5, 2025

G. A. REPPLE & COMPANY

BD
CRD#: 17486
CASSELBERRY, FL
Past

August 25, 2023 - January 31, 2025

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

June 6, 2017 - April 17, 2023

JRL CAPITAL CORPORATION

BD
CRD#: 10225
IRVINE, CA
Past

August 3, 2016 - June 27, 2017

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
Irvine, CA
Past

November 2, 2010 - August 8, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
IRVINE, CA
Past

June 29, 2007 - October 28, 2010

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
SAN CLEMENTE, CA
Past

June 27, 2006 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN CLEMENTE, CA
Past

October 31, 2005 - June 19, 2006

OSAIC SERVICES, INC.

BD
CRD#: 133763
IRVINE, CA
Past

January 3, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

April 7, 2003 - December 31, 2004

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

March 2, 1998 - December 31, 2001

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

May 9, 1997 - February 25, 1998

FMN CAPITAL CORPORATION

BD
CRD#: 38105
MISSION VIEJO, CA
Past

March 20, 1996 - February 21, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

March 12, 1992 - March 18, 1996

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 3, 1991 - March 12, 1992

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
IRVINE, CA

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
California
(6/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/1991
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 7
Date: 5/18/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NA
NI ADVISORS
NI ADVISORS

CRD#: 134502 / SEC#: , 8-66841

California
Registered Investment Advisory firm - SEC (5/23/2012 Approved)
Colorado
Registered Investment Advisory firm - SEC (7/29/2022 Approved)
Florida
Registered Investment Advisory firm - SEC (4/9/2024 Approved)
Massachusetts
Registered Investment Advisory firm - SEC (1/4/2023 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/11/2023 Approved)
Rhode Island
Registered Investment Advisory firm - SEC (2/11/2022 Approved)
Texas
Registered Investment Advisory firm - SEC (2/25/2020 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058
Mailing Address
1138 Cadillac Court, Milpitas, CA 95035
Phone number
(510) 306-7777
Established
California since 01/01/2005
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GOY, SUIHOCKPRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER2821380
POSTREL, HELENE BERSONFINOP2240945

Regulatory assets under management

Total Number of Accounts7
AUM (Assets Under Management)$ 3,560,000

Disclosures

Regulatory Event1

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

NI ADVISORS

CRD#: 134502Milpitas, CA 95035

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