NB
Neeraj Bhatia
NI ADVISORS
Santa Clara, CA 95054
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CRD#: 4901986
NB
Professional summary
Neeraj Bhatia is a registered financial advisor currently at NI ADVISORS located in Santa Clara, California.
Neeraj is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Neeraj has worked at 2 firms and has passed the Series 66, 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.
1. Bhatia & Co, Inc & Transnative Associates Inc. Non-Investment Related. 4677 Old Ironsides Dr., Suite 170, SANTA CLARA, CA 95054. CPAs & business consulting. President of both Companies. 160 hour/month, 20 hours/month 5 hours/month during NAI business hours. Accounting, tax, business consulting, and management. 2. Bhatia Professional Law Corporation, Non-Investment Related 4677 Old Ironsides Dr., Suite 170, SANTA CLARA, CA 95054. Attorney at Law, license since 05/12/2022 as a sole proprietor and incorporated since 6/7/2022. 30 hour/month, 30 hours/month during NAI business hours. Legal Services
CRS (Client Relationship Summary) - RIA
Click below to view Neeraj Bhatia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neeraj Bhatia'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
November 27, 2017 - Present
NI ADVISORS
Office #1: 4677 Old Ironsides Drive, Suite 170, Santa Clara, CA 95054RIA
BD
CRD#: 134502
Santa Clara, CA
Current
August 30, 2005 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035Office #2: 1138 Cadillac Court, Milpitas, CA 95035-3058RIA
BD
CRD#: 134502
MILPITAS, CA
Past
March 3, 2005 - September 1, 2005
WHITE PACIFIC SECURITIES, INC.
BD
CRD#: 42505
SAN FRANCISCO, 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
California(9/1/2005)
IAR
California(11/27/2017)
RR
Michigan(12/26/2017)
RR
Texas(7/26/2022)
RR
Virginia(5/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
