Category: Ni Advisors

Brian James Pavelko (CRD: 6347352) is a registered broker with NI Advisors in Milipitas, CA. Broker’s History He entered the securities industry in 2014 and previously worked with Coastal Equities, Inc.; Democracy Funding LLC; and SW Financial (FINRA expelled the firm in 2023). Allegations of Misconduct According to publicly available records released by the Financial […]

Shirley Wong (CRD#: 4869184) is a dually registered Broker and Investment Advisor at Ni Advisors in Daly City, CA. Broker’s Background She entered the securities industry in 2004 and previously worked for World Group Securities, Inc.; Citicorp Investment Services; and AXA Advisors, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Yvonne Zhong (CRD#: 3203120) is a registered Broker at Ni Advisors in Los Gatos, CA. Broker’s Background She entered the securities industry in 1999 and previously worked for Cetera Investment Services, LLC; LPL Financial, LLC; AXA Advisors, LLC; Ni Advisors; UCB Investment Services, Inc.; Supertrade Securities, Inc.; Golden Stream Securities, Inc.; and Youngblood Securities Corp. […]