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TC

Ted Chen

NI ADVISORS
East Brunswick, NJ
Some features on this profile are disabled
CRD#: 6618510
TC

Professional summary

Ted Chen is a registered financial professional currently at NI ADVISORS located in East Brunswick, New Jersey.

Ted is registered as a RR (Registered Representative) and started their career in finance in 2016. Ted has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ted Chen'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

March 31, 2026 - Present

NI ADVISORS

RIA
BD
CRD#: 134502
East Brunswick, NJ
Past

January 15, 2020 - March 9, 2026

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBRIDGE, NJ
Past

January 15, 2020 - March 9, 2026

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBRIDGE, NJ
Past

January 3, 2019 - January 15, 2020

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
Edison, NJ
Past

January 2, 2019 - January 15, 2020

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
EDISON, NJ
Past

July 8, 2016 - November 13, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBRIDGE, NJ
Past

March 14, 2016 - November 13, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBRIDGE, NJ

State Registrations and Notice Filings

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

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
New Jersey
(4/2/2026)
RR
New York
(3/31/2026)
RR
North Carolina
(4/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/12/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2019
General Securities Principal Examination
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GOY, SUIHOCKPRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER2821380
POSTREL, HELENE BERSONFINOP2240945

Regulatory assets under management

Total Number of Accounts7
AUM (Assets Under Management)$ 3,560,000

Disclosures

Regulatory Event1

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.

Company Information

NI ADVISORS

CRD#: 134502East Brunswick, NJ

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