SG
Suihock Goy
NI ADVISORS
San Jose, CA 95131
Some features on this profile are disabled
CRD#: 2821380
SG
Professional summary
Suihock Goy is a registered financial advisor currently at NI ADVISORS located in San Jose, California.
Suihock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Suihock has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 27 and Series 24 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.
LIFE, HEALTH, AND PROPERTY & CASUALTY INSURANCES. DOING INSURANCE BUSINESS UNDER NI ADVISORS DBA NI INSURANCE AGENCY. DOING IMPORT/EXPORT INTERNATIONAL TRADE BUSINESS SUCH AS PRINTER, SCRAP METALS & GRAPE WINE UNDER NI PACIFIC. Non-Investment related. 1138 Cadillac Court, Milpitas, CA 95035. 40 hours/month 10 hours/months during NAI business hours. Sales & Management.
CRS (Client Relationship Summary) - RIA
Click below to view Suihock Goy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suihock Goy's 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®
NoneExperience
Current
May 24, 2012 - Present
NI ADVISORS
Office #1: 2150 Ringwood Ave., San Jose, CA 95131Office #2: 3 Allied Dr. Suite 303, Dedham, MA 02026Office #3: 1138 Cadillac Court, Milpitas, CA 95035Office #4: 1138 Cadillac Court, Milpitas, CA 95035-3058Office #5: 2035 Lincoln Highway Suite 2250, Edison, NJ 08817Office #8: 2514 S. Hacienda Blvd., Suite D, Hacienda Heights, CA 91745Office #9: 1108 S. Baldwin Ave., Suite 217, Arcadia, CA 91007RIA
BD
CRD#: 134502
San Jose, CA
Current
August 16, 2005 - Present
NI ADVISORS
Office #1: 2150 Ringwood Ave., San Jose, CA 95131Office #2: 3 Allied Dr. Suite 303, Dedham, MA 02026Office #3: 1138 Cadillac Court, Milpitas, CA 95035Office #4: 1138 Cadillac Court, Milpitas, CA 95035-3058Office #5: 2035 Lincoln Highway Suite 2250, Edison, NJ 08817Office #8: 2514 S. Hacienda Blvd., Suite D, Hacienda Heights, CA 91745Office #9: 1108 S. Baldwin Ave., Suite 217, Arcadia, CA 91007RIA
BD
CRD#: 134502
San Jose, CA
Past
April 17, 2006 - June 4, 2010
NI ADVISORS
RIA
CRD#: 134502
Daly City, CA
Past
December 17, 2003 - September 8, 2005
WHITE PACIFIC SECURITIES, INC.
BD
CRD#: 42505
SAN FRANCISCO, CA
Past
October 23, 2003 - January 2, 2004
PMB SECURITIES CORP.
RIA
CRD#: 118642
OAKLAND, CA
Past
October 23, 2003 - January 2, 2004
PMB SECURITIES CORP.
BD
CRD#: 118642
NEWPORT BEACH, CA
Past
April 15, 1999 - October 16, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BERKELEY, CA
Past
May 15, 1998 - October 16, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 28, 1998 - June 25, 1998
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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.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
Arizona(9/6/2017)
RR
California(9/1/2005)
IAR
California(5/24/2012)
RR
Connecticut(1/15/2019)
RR
Florida(3/1/2006)
IAR
Florida(4/9/2024)
RR
Georgia(8/25/2017)
RR
Idaho(11/9/2017)
RR
Maine(3/23/2012)
RR
Maryland(4/4/2012)
RR
Massachusetts(4/12/2012)
IAR
Massachusetts(1/4/2023)
RR
Michigan(7/27/2012)
RR
Missouri(12/17/2018)
RR
Nevada(1/4/2006)
RR
New Hampshire(1/6/2022)
RR
New Jersey(12/3/2010)
RR
New York(4/25/2006)
RR
North Carolina(11/5/2018)
RR
Oregon(1/1/2006)
RR
Pennsylvania(7/26/2012)
RR
South Carolina(12/4/2018)
RR
Texas(8/3/2018)
IAR
Texas(2/25/2020)
RR
Utah(4/21/2022)
RR
Virginia(8/8/2018)
RR
Washington(6/28/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
