Haselkorn & Thibaut has launched a thorough investigation into the activities and disclosures of Brady Lipp, a financial advisor based in Milpitas, California, currently registered with NI Advisors. If you are an investor who has worked with Mr. Lipp or are concerned about your account, this comprehensive report will help you understand the latest developments, red flags, and what actions you can take to protect your investments.
Understanding Brady Lipp’s Professional Background
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Brady Lipp (CRD# 1359835) has accumulated over 32 years of experience in the securities industry. Residing in Milpitas, California, Mr. Lipp is currently serving as both a broker at NI Advisors and as the Principal Managing Director of One Alpha North Capital. His registration with NI Advisors started in April 2025.
Career highlights include positions at:
- Great Point Capital
- David A. Noyes & Company
- Alps Distributors
- Taglich Brothers
- Quasar Distributors
- Jesup & Lamont
- Credit Suisse Asset Management Securities
- Strong Funds Distributors
- Edward D. Jones & Company
His professional certifications include:
- Securities Industry Essentials Examination (SIE)
- Uniform Investment Adviser Law Examination (Series 65)
- Uniform Securities Agent State Law Examination (Series 63)
- General Securities Principal Examination (Series 24)
- General Securities Representative Examination (Series 7TO and Series 7)
Mr. Lipp is currently licensed to practice in Arizona, Florida, Minnesota, and North Dakota.
Disclosures and Complaints: What Investors Should Know
Brady Lipp’s BrokerCheck report shows the following disclosures as of March 30, 2026:
| Disclosure Type | Date | Details | Status |
|---|---|---|---|
| Customer Complaint | March 2026 |
Allegation: As a representative of Great Point Capital, Mr. Lipp was accused of fraud and negligent supervision, allegedly resulting in a $1 million loss for an investor. Pending Action: The complaint has not yet been resolved as of the current report date. |
Pending |
| Employment Separation After Allegations | 2025 | Reason: Permitted to resign from Great Point Capital in connection with allegations of unauthorized fundraising for an entity known as “RahRah.” GPC’s records state that Mr. Lipp did not receive authorization or submit the required written request for participation in this outside business activity, a requirement under FINRA Rule 3270. | Resolved (Resignation) |
No additional regulatory actions or civil judgments were found on FINRA BrokerCheck or in SEC enforcement searches as of the date of this review.
Investors can confirm Brady Lipp’s regulatory history by conducting their own search on BrokerCheck using his CRD number: 1359835.
Investigating Red Flags: What Can Investors Learn?
As with any investment professional who has disclosures, it is important for investors to remain aware and diligent. Here are the key red flags to pay attention to in Mr. Lipp’s history:
- Pending $1 Million Fraud Complaint: The seriousness of this complaint should prompt an immediate review by any investor with exposure to Mr. Lipp’s recommendations or management. Allegations of fraud and negligent supervision can have far-reaching implications for both current and former clients.
- Past Allegations Related to Unauthorized Activity: The record indicates that Mr. Lipp continued involvement with external business activities (the RahRah fundraising) without proper firm authorization. Failure to disclose and seek approval for outside activities can represent both a compliance and a trust concern for investors.
How to Check for Additional Disclosures
For those looking to do additional research or verify information about Brady Lipp, follow these steps:
- Visit the official FINRA BrokerCheck website.
- Enter “Brady Lipp” or his CRD number (1359835).
- Expand all sections of the profile, especially those listing Disclosures, Employment History, and Regulatory Events.
Other useful resources include the SEC’s EDGAR system, PACER for federal litigation, and state securities boards. As of the most recent review, no additional complaints or enforcement actions were identified at these sources.
What Should Investors Do Next?
If you have been advised by Brady Lipp, experienced unexplained losses, or have concerns about unauthorized activity, consider the following actions:
- Review your account statements and correspondence: Look for any unfamiliar transactions, lack of communication, or explanations for recent account losses.
- Contact your broker-dealer (NI Advisors) directly: Ask about any open investigations or complaints related to your account or to Mr. Lipp’s practices.
- Get a professional review: Engaging a law firm experienced in investment fraud and FINRA arbitrations can help clarify your rights, and may make recovery of losses possible.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut is a national investment fraud law firm with over 50 years of experience, a 98% success rate, and millions of dollars recovered for clients nationwide. Their attorneys understand the stress and frustration that comes with potential investment losses and complaints. They operate on a no recovery, no fee basis, so you can pursue your case risk-free.
If you or a loved one believe you have suffered losses while working with Brady Lipp or NI Advisors, now is the time to seek answers and explore your options. The earlier you act, the more options may be available to protect your rights and recover your funds.
Free Confidential Consultation
Haselkorn & Thibaut’s team is standing by to offer you a free, fully confidential consultation:
- Call 1 888-885-7162 today to discuss your case.
- Your information will remain confidential.
- No fees unless you recover funds.
You deserve clear answers and real advocacy. Contact Haselkorn & Thibaut today at 1 888-885-7162 for your free case review.
