Bala Subramanian

NI ADVISORS

Edison, NJ 08817

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CRD#: 2513417

Professional summary

Bala Subramanian is a registered financial advisor currently at NI ADVISORS located in Edison, New Jersey.

Bala is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Bala has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Bala Subramanian, Non-Investment-related, 14 Waldhaven Ct., Piscataway, NJ 08854, Life and Health Insurance; Sole proprietor since 06/16/1994; Sales of life insurance and fixed & indexed annuities; 160 hours/month; 160 hours/month during NAI hours; Managing fixed life and health insurance business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bala Subramanian's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Bala Subramanian'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

January 30, 2025 - Present

NI ADVISORS

Office #1: 2035 Lincoln Highway Suite 2250, Edison, NJ 08817

RIA

CRD#: 134502

Edison, NJ

Current

January 16, 2025 - Present

NI ADVISORS

Office #1: 2035 Lincoln Highway Suite 2250, Edison, NJ 08817

RIA

CRD#: 134502

Edison, NJ

Past

July 18, 2017 - December 5, 2024

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

EDISON, NJ

Past

July 14, 2017 - December 5, 2024

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

EDISON, NJ

Past

March 25, 2017 - July 13, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

EDISON, NJ

Past

March 25, 2017 - July 13, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

EDISON, NJ

Past

July 31, 2002 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

EDISON, NJ

Past

July 14, 1994 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

SHORT HILLS, NJ

Past

July 14, 1994 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(2/11/2025)

IAR

Florida
(2/11/2025)

New Jersey
(1/30/2025)

IAR

New Jersey
(1/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/31/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GOY, SUIHOCK	PRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER	2821380
POSTREL, HELENE BERSON	FINOP	2240945

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 3,560,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Bala Subramanian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bala Subramanian's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Bala Subramanian's CRS (Customer Relationship Summary).

Certified licenses

Experience

NI ADVISORS

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/31/1998

Series 6

Date: 7/7/1994

FINRA

Current Firm

NI ADVISORS

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NI ADVISORS

TRUST BUT VERIFY

Similar Advisors