NI ADVISORS X-17A-5 (2017-08-29) — Broker-dealer annual report

Full text of NI ADVISORS's X-17A-5 filed 2017-08-29 (period 2017-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

• Company: NI ADVISORS
• Form: X-17A-5
• Filed: 2017-08-29
• Period: 2017-06-30
• Accession: 0001318478-17-000006
• CIK: 1318478
• File #: 8-66841
• Material weakness: Yes
• Auditor: Breard & Associates, Inc.
• Auditor location: Northridge, CA
• Contact: Sui-Hock Goy
• Phone: 5103067777
• Signed by: Sui-Hock Goy (President)

Document text (excerpt)

X-17A-5 0001318478 XXXXXXXX 008-66841 LIVE true true true 07-01-2016 06-30-2017 Broker-dealer Y NI ADVISORS 1138 CADILLAC COURT MILPITAS CA 95035 Sui-Hock Goy 5103067777 Breard & Associates, Inc. 9221 Corbin Avenue, Suite 170 Northridge CA 91324 Certified Public Accountant Sui-Hock Goy NI ADVISORS 08-29-2017 Sui-Hock Goy President Y

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• X-17A-5 — 2025-10-15
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• X-17A-5 — 2022-08-29
• X-17A-5 — 2021-08-31
• X-17A-5 — 2020-09-14
• X-17A-5 — 2019-08-30
• X-17A-5 — 2018-10-02
• X-17A-5 — 2016-09-22
• X-17A-5 — 2015-08-31
• X-17A-5 — 2014-08-25
• X-17A-5 — 2013-09-03

Original filing on SEC EDGAR (source of record)