AXOS Clearing is a full service independent clearing firm focused on the success of our introducing broker-dealer and registered investment advisor correspondents. We provide a flexible, customized platform and a broad range of strategic services focused on empowering our correspondents to grow their businesses. Our technology offerings and partnerships with top industry providers enable the firms we serve to effectively navigate changes and employ the latest advancements in the financial services space.
Independent and driven by supporting our clients’ needs.
Ni Advisors is a brokerage firm where our financial professionals put the clients and their financial goals above all else. Providing a strong infrastructure that allows our representatives with the financial industries best solutions. Allowing our professionals a wide range of financial products to best service you and your loved ones.
Ni Advisors supportive role and tools for our financial professionals.
We provide our representatives with all the tools needed to serve you throughout all of life’s stages. Ni Advisors offers:
- A wide range of comprehensive investment and insurance solutions, including but not limited to Structured Notes, Alternative Investments, Annuities, Mutual Funds & ETF’s, as well as your typical stocks and bonds.
- Technology and day-to-day support for our independent financial professionals to operate and develop strong, long-lasting relationships with their clients.
- Quick and seamless trade execution, clearing and custody services offered through AXOS Clearing as well as many 3rd party custodians.
- Staying compliant and up to date with regulations and supervising all of our professionals’ activities.
Frequently Asked Questions
What is a broker-dealer and registered investment advisor?
Firms such as Ni Advisors that are broker-dealers and registered investment advisors play an important role in the financial services industry. They provide the infrastructure and platform for registered representatives, or financial professionals who are licensed to sell securities, to do business. These registered representatives are required to partner with a broker-dealer to run their practice. A broker-dealer facilitates financial activities and transactions. A registered investment advisor is a firm that is registered with state(s) or the U.S. Securities and Exchange Commission to manage investments. Ni Advisors operates as both a broker-dealer and registered investment advisor.
I received a letter in the mail from Ni Advisors. Why are you contacting me?
Communications and statements about your financial accounts will typically come from your independent financial professional or the product sponsor (that is, the place where your account is held). On occasion, Ni Advisors contacts clients directly, as required by law, to verify that your information is up to date and to provide you with important notices about your account. If you have questions about a letter you have received, please contact your financial professional noted on the communication or contact Ni Advisors.
How do you protect my information and finances?
All activities of Ni Advisors and your financial professional are strictly regulated by the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Ni Advisors closely supervises the activities of every registered representative with our firm. You can read our client privacy policies and related disclosures below.
Make informed choices
FINRA is a not-for-profit organization authorized by U.S. Congress to protect investors by ensuring the broker-dealer industry operates fairly and with integrity. FINRA’s BrokerCheck is a free online tool you can use to research the background and experience of financial professionals and firms.
Client Forms, Privacy Policies, and other Disclosures
Axos Clearing ACAT Account Transfer Form 202110
Axos Clearing Ni Advisors New Account Application Form Fillable 202211
Axos Clearing MoneyLink Electronic Fund Transfer Form 201906
Axos Clearing Delivery Money Wire Instructions for Retail 202110
Axos Clearing Margin Agreement 201903
Axos Clearing Change of Beneficiary Form 202110
Axos Transfer on Death Form 202003
Axos Trust Certification Form 201903
Axos Account Application RIA 202104
Ni Advisors Form Change of BD or Rep Mutual Funds & Insurance Fillable 20180119
Axos Clearing Ni Advisors New Account Application Form Fillable 202211
Ni Advisors Trusted Contact Person Information Form Fillable 20210514
Ni Advisors Form Client Acknowledgement Fillable 20220628
Ni Advisors Limited Liquidity Excess Guideline Acknowledgement Form Fillable 20190801
Ni Advisors Variable Annuity Suitability 20131111
Ni Advisors Mutual Fund Annuity Switch Letter Fillable 20190730
Ni Advisors Mutual Fund Breakpoint Letter Version 1 A Shares Fillable 20190730
Ni Advisors Client Acknowledgement Rollover Disclosure Fillable 20190318
Ni Advisors IRA Rollover-Transfer Disclosure and Questionnaire Fillable 20220201
Get in touch
Do you have a question about Ni Advisors, your financial professional or your account with us?
Ni Advisors 