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Advisor at NPA ASSET MANAGEMENT, LLC
Hato Rey, PR | FAIR LAWN, NJ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NPA ASSET MANAGEMENT, LLC | Bd affiliated wealth | Mar 13, 2020 | n/a | yes | FAIR LAWN, NJ|Hato Rey, PR | Current employment |
| HERBERT J. SIMS CAPITAL MANAGEMENT, INC. | Independent wealth | Oct 14, 2016 | Jan 17, 2020 | no | Guaynabo, PR|FAIRFIELD, CT|GUAYNABO, PR | Previous registration |
| SANTANDER SECURITIES | Bd affiliated wealth | Mar 25, 2010 | Oct 14, 2016 | no | BOSTON, MA|DORADO, PR|BAYAMON, PR|Hato Rey, PR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| HERBERT J. SIMS CAPITAL MANAGEMENT, INC. | NPA ASSET MANAGEMENT, LLC | Jan 17, 2020 | Mar 13, 2020 | 56 | Firm change | RIA to RIA |
| SANTANDER SECURITIES | HERBERT J. SIMS CAPITAL MANAGEMENT, INC. | Oct 14, 2016 | Oct 14, 2016 | 0 | Firm change | Other |