Gerardo Javier
Professional summary
Gerardo Javier is a registered financial professional 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 31, Series 32, Series 6TO, Series 82TO, Series 22TO, Series 87, Series 52TO, Series 99TO, SIE, Series 7, Series 30, Series 4, Series 39, Series 14, Series 10, Series 9, Series 27, Series 28, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gerardo Javier's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2025 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035July 16, 2021 - July 15, 2024
LONG ISLAND FINANCIAL GROUP, INC.
February 3, 2017 - May 5, 2021
MML INVESTORS SERVICES, LLC
December 5, 2011 - November 23, 2015
ALLIED MILLENNIAL PARTNERS, LLC
December 2, 2010 - December 5, 2011
PORTFOLIO ADVISORS ALLIANCE, LLC
March 16, 2010 - December 2, 2010
BUCKMAN, BUCKMAN & REID, INC.
December 7, 2009 - February 8, 2010
CHARLES VISTA LLC
August 3, 2009 - October 23, 2009
NATIONAL SECURITIES CORPORATION
January 23, 2007 - July 31, 2009
GUNNALLEN FINANCIAL, INC
September 2, 2004 - January 23, 2007
S.W. BACH & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/11/2025)
(6/13/2025)
Exams
Series 6TO
Date: 1/12/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/12/2024
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/12/2024
Direct Participation Programs Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 5/4/2022
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
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
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