Gerardo Javier
Professional Summary
Gerardo Javier is a registered financial advisor currently at NI ADVISORS located in Milpitas, California. Gerardo is registered as a RR (Registered Representative) and started their career in finance in 2004. Gerardo has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 99TO, Series 34, Series 31, Series 32, Series 6TO, Series 82TO, Series 22TO, Series 87, Series 52TO, SIE, Series 7, Series 30, Series 4, Series 39, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
22 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NI ADVISORS
Contact Information
Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058Mailing Address
1138 Cadillac Court, Milpitas, CA 95035Phone Number
(510) 306-7777Established
California since 01/01/2005Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
16FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$3,560,000Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/11/2025)
(6/13/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2024About the Series 6TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2024About the Series 82TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2024About the Series 22TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jul 2023About the Series 87 examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 39 — Direct Participation Programs Principal Examination
Passed Mar 2024About the Series 39 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2023About the Series 9 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2022About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 2017About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gerardo Javier's CRS (Customer Relationship Summary).
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