Andrea Bulow: Emerson, Ex-NI Advisor Lands $165K Complaint

San Mateo, California financial advisor Andrea Bulow (CRD# 3071648) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with NI Advisors.

Ms. Bulow’s BrokerCheck report discloses one recent investor complaint. Filed in April 2025, it alleges that as a representative of NI Advisors, she violated state and federal securities law, breached contract, engaged in fraudulent business practices, committed elder abuse, breached his fiduciary duty, and acted negligently in connection with a corporate bond investment. The pending complaint alleges damages of $165,000.

A second disclosure on his BrokerCheck report concerns a disciplinary action against her by the California Department of Insurance. Filed in 2013, the disclosure does not describe the underlying allegations. The Department temporarily revoked her licenses. “The DOI action did not allege that I misled the customer or that the customer did not receive and understand what the 24-hour notice said,” she wrote in a comment included with the disclosure. “It said that I was an insurance agent selling insurance. The customer knew that and received the notices that said that.”

According to the Financial Industry Regulatory Authority, Andrea Bulow holds 22 years of securities industry experience. Based in San Mateo, California, she has been registered as a broker with Emerson Equity since 2024. Her past registrations include NI Advisors, Cetera Investment Services, Foothill Securities, Bancwest Investment Services, Wells Fargo Advisors, Citicorp Investment Services, Cal Fed Investments, and WMA Securities. Her credentials include the passage of six securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Investment Company Products/Variable Contracts Representative Examination, or Series 6. She is licensed in California, Florida, Hawaii, Idaho, New Jersey, and Oregon. (Information current as of June 2, 2025.)

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