NI ADVISORS X-17A-5 (2025-10-15) — Broker-dealer annual report

Full text of NI ADVISORS's X-17A-5 filed 2025-10-15 (period 2025-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.

Company: NI ADVISORS
Form: X-17A-5
Filed: 2025-10-15
Period: 2025-06-30
Accession: 0001318478-25-000007
CIK: 1318478
File #: 8-66841
Type: Broker-dealer
Material weakness: No
Auditor: LMHS, P.C. - Certified Public Accountants and Advisors
Auditor location: Norwell, MA
Contact: Helene Berson
Phone: 4152033960
Email: goy@niadvisorsinc.com
Website: niadvisorsinc.com
Signed by: Sui-Hok Goy (President)

Document text (excerpt)

{0}------------------------------------------------ # UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS | e<br>:<br>B<br>OM<br>AP<br>PR<br>OV<br>AL | |-------------------------------------------------------------------------------------------------------------------------------------| | 3<br>B<br>N<br>u<br>m<br>a<br>r<br>3<br>2<br>3<br>5<br>0<br>1<br>2<br>s:<br>MB<br>3<br>OM<br>32<br>35<br>-0<br>12<br>Nu<br>mb<br>er | | d<br>:<br>20<br>e<br>v.<br>20<br>un<br>26<br>Exp<br>ire<br>No<br>30<br>,<br>20 | | en<br>Es<br>ti<br>ma<br>te<br>av<br>er<br>ag<br>bu<br>rd | | s<br>12<br>r<br>ho<br>ur<br>pe<br>re<br>sp<br>on<br>se | SEC FILE NUMBER 8-66841 # FORM X-17A-5 PART IШ FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup> | G<br>OD<br>E<br>R<br>F<br>I<br>L<br>I<br>N<br>G<br>BE<br>GI<br>NN<br>IN<br>FO<br>TH<br>PE<br>RI | 4<br>7<br>/<br>1<br>/<br>2 | I<br>N<br>G<br>E<br>N<br>D<br>A<br>N<br>D | 5<br>6<br>/<br>3<br>0<br>/<br>2 | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------|----------------------------------------------------------------------------------| | A. | YY<br>MM<br>/D<br>D/ | ON | | Y<br>M<br>M<br>/<br>D<br>D<br>/<br>Y | | | R<br>E<br>G<br>I<br>S<br>T<br>R<br>A<br>N<br>T<br>ID<br>EN<br>TI | FI<br>CA<br>TI | | | | E<br>:<br>s<br>A<br>d<br>v<br>i<br>s<br>o<br>r<br>N<br>i<br>N<br>A<br>M<br>OF<br>FI<br>RM | | | | | | PE<br>:<br>l<br>(<br>c<br>h<br>e<br>c<br>k<br>OF<br>a<b…

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