Best Investors Account Sign in

Richard Lee Rose

Npa Asset Management, LLC

Fair Lawn, NJ

Claim This Profile
Current Employers
Npa Asset Management, Llc

32-16 Broadway 2Nd Floor, Fair Lawn, NJ 07410 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-01-09
  • NJ RA
    APPROVED
    Since 2018-01-09

Branch Locations

32-16 Broadway 2Nd Floor, Fair Lawn, NJ 07410 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Planning Associates, Inc. Fair Lawn NJ 04/2010 Present
Npa Asset Management, Llc Fair Lawn NJ 04/2010 Present
  • 04/2010 → Present
    Nationwide Planning Associates, Inc.
    Fair Lawn, NJ
  • 04/2010 → Present
    Npa Asset Management, Llc
    Fair Lawn, NJ
Previous Registrations
  • 2010-05-11 → 2017-12-31
    Npa Asset Management, Llc
    Fair Lawn, NJ
  • 2008-08-28 → 2009-12-31
    Wells Fargo Clearing Services, Llc
    New York, NY
    New York, NY
    Charlotte, NC
  • 2006-09-08 → 2008-08-11
    Td Wealth Management Services Inc.
    New York, NY
    Maywood, NJ
    Ramsey, NJ
  • 2004-10-20 → 2006-09-11
    Banc Of America Investment Services, Inc.
    Glen Rock, NJ
    Ridgewood, NJ
    Glen Rock, NJ
  • 2002-11-22 → 2004-10-20
    Quick & Reilly, Inc.
    Ridgewood, NJ
Other Businesses

1) DUALLY REGISTERED WITH NPA ASSET MANAGEMENT (RIA) AND NATIONWIDE PLANNING ASSOCIATES, INC (AFFILIATED B/D), 32-16 BROADWAY, 2ND FLOOR, FAIR LAWN, NJ 07410. INVESTMENT RELATED, START DATE 4/26/2010. 2)INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-08
S63 Uniform Securities Agent State Law Examination 1991-04-17
  • S65 Uniform Investment Adviser Law Examination
    1998-12-08
  • S63 Uniform Securities Agent State Law Examination
    1991-04-17
Other Names
  • Rick Rose
  • Richard L Rose

View on SEC IAPD

Other Firms

BLUE POINT STRATEGIC WEALTH MANAGEMENT, LLC
J.P. MORGAN SECURITIES LLC
SCIPIONE WEALTH ADVISORS, INC.
THE RETIREMENT PLANNING GROUP, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
A.G.P. / ALLIANCE GLOBAL PARTNERS
MARINER INDEPENDENT
LPL FINANCIAL LLC

Other Investors

ROBERTO FERIA CESTERO
WILLIAM GEORGE ROLL
JAMES KEVIN NOBLE
THERESA JEAN YAROSH
KENNETH JAY SCHNOLL
ANTHONY T MEGARO
ERIC ARTHUR BICKNESE
MICHAEL J KARALEWICH

Other Offices

BLUE POINT STRATEGIC WEALTH MANAGEMENT, LLC · FAIR LAWN, NJ
J.P. MORGAN SECURITIES LLC · FAIRLAWN, NJ
SCIPIONE WEALTH ADVISORS, INC. · PARAMUS, NJ
THE RETIREMENT PLANNING GROUP, LLC · Paramus, NJ
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ROCHELLE PARK, NJ
A.G.P. / ALLIANCE GLOBAL PARTNERS · Rochelle Park, NJ
MARINER INDEPENDENT · Rochelle Park, NJ
LPL FINANCIAL LLC · ROCHELLE PARK, NJ

More in Fair Lawn, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor