Were you the victim of Ni Advisors broker Andrea Bulow (CRD# 3071648)? She has been registered with Emerson Equity LLC in San Mateo, California, since 2024.
He was registered with Ni Advisors in Milpitas, California, from 2016 to 2024, Cetera Investment Services LLC in Milpitas, California, from 2011 to 2013, when he was terminated regarding, “Felony charges.” He was registered with Foothill Securities, Inc. in Los Gatos, California, from 2010 to 2011, and Bancwest Investment Services, Inc. in Campbell, California, from 2007 to 2010, when he was terminated regarding “BWIS determined that Ms. Bulow submitted a photocopy of a California appointment notice from her first meeting with a client and changed the date on the photocopy notice for her second meeting with the client instead of presenting a new notice to the client and obtaining the client’s original signature for the second meeting.” He was registered with Wells Fargo Investments, LLC in San Jose, California, from 2005 to 2006, when he was terminated regarding, “Wells Fargo said that I did business with a customer who works in Germany even he is a us citizen. They said I violated company policy and terminated me.”
In December 2013, the California Department of Insurance revoked the broker’s registration regarding, “Respondent shall physically surrender all licenses and licensing rights to act in the capacity of accident and health agent, life-only agent, variable contracts, and any other licenses she may hold issued by Department of Insurance to the Commissioner for cancellation and same hereby is, for cause, revoked.” According to his BrokerCheck, “Capacity of accident and health agent, life-only agent, variable contracts, and any other licenses she may hold issued by Department of Insurance to the Commissioner for cancellation and same hereby is, for cause, revoked.”
Andrea Bulow Customer Complaints
She has been the subject of two customer complaints between 2009 and 2025, one of which was denied, according to his CRD report:
April 2025. “Violations of Federal Securities Laws; Violations of California Securities Laws; California unfair, unlawful, and fraudulent business practices, Violation of California’s financial elder abuse law; Breach of contract; Common law fraud; Breach of fiduciary duty; Negligence and gross negligence. Purchase made 05/2019.” The customer is seeking $165,000 in damages, and the case is currently pending. The complaint was regarding corporate debt, and it took place while he was registered with Ni Advisors.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ni Advisors may be liable for investment or other losses suffered by Andrea Bulow’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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