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Andrea Bulow Was Sanctioned by FINRA Following Alleged Rule Violations

Andrea BulowPublic records published by the Financial Industry Regulatory Authority (FINRA) on March 19, 2018 indicate that former California-based NI Advisors broker/adviser Andrea Bulow was recently sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bulow (CRD# 3071648).

Andrea Bulow has spent 16 years in the securities industry and was most recently registered with NI Advisors in Milpitas, California (2016-2018). Previous registrations include Cetera Investment Services in Milpitas, California (2011-2013); Foothill Securities in Los Gatos, California (2010-2011); Bancwest Investment Services in Campbell, California (2007-2010); Wells Fargo Investments in San Jose, California (2005-2006); Citicorp Investment Services in Long Island City, New York (2003-2005); Cal Fed Investments in Sacramento, California (1999-2003); and WMA Securities in Duluth, Georgia (1998-1999). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on April 29, 2016; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 18, 2004; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 4, 1998; Series 7 (General Securities Representative Examination), which she obtained on August 19, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on August 17, 1998. She is currently not registered with any state or firm.

According to her BrokerCheck report, Andrea Bulow has been discharged from three former employers and sanctioned by FINRA in connection to alleged rule violations.

In March 2018 Andrea Bulow was sanctioned by FINRA and statutorily disqualified from acting as a broker in connection to unspecified circumstances.

In 2013 she was terminated from her position at Cetera Investment Services in connection to allegations she received felony charges that were later dropped.

In 2010 she was terminated from her position at Bancwest Investment Services in connection to allegations she “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 appointment with the client rather than presenting the client with a new notice and obtaining the client’s signature.

In 2006 she was terminated from her position at Wells Fargo in connection to allegations she “did business with a customer who works in Germany” though he was a US citizen.

If you or someone you know has a complaint regarding Andrea Bulow, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.