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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)41 years in industry

RICHARD JOHN WALSH

Advisor at NPA ASSET MANAGEMENT, LLC

FAIR LAWN, NJ

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Search this name across graphsid dfx:ria:bd53082c-dbcc-bfe8-ebea-4eb5242e0385

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 21, 2001 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NPA ASSET MANAGEMENT, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 22, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Feb 22, 1985
First registration: May 21, 2001
Dual registered: yes, broker-dealer
Other names: RICHARD JOHN SZALKIEWICZ
IAPD individual key: 1340432

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NPA ASSET MANAGEMENT, LLC	Bd affiliated wealth	Jan 9, 2018	n/a	yes	FAIR LAWN, NJ	Current employment
NPA ASSET MANAGEMENT, LLC	Bd affiliated wealth	Nov 5, 2015	Dec 31, 2017	no	FAIR LAWN, NJ	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Dec 3, 2014	Nov 2, 2015	no	CHARLOTTE, NC\|Washington Twp, NJ	Previous registration
NPA ASSET MANAGEMENT, LLC	Bd affiliated wealth	Jan 10, 2013	Nov 28, 2014	no	FAIR LAWN, NJ	Previous registration
OSAIC FA, INC.	Former SEC adviser	Sep 11, 2006	Jan 16, 2013	no	PARAMUS, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 20, 2004	Apr 19, 2005	no	JERSEY CITY, NJ	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	May 21, 2001	Mar 3, 2004	no	MALVERN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VOYA FINANCIAL ADVISORS, INC.	NPA ASSET MANAGEMENT, LLC	Nov 2, 2015	Nov 5, 2015	3	Firm change	Other
NPA ASSET MANAGEMENT, LLC	VOYA FINANCIAL ADVISORS, INC.	Nov 28, 2014	Dec 3, 2014	5	Firm change	Other
OSAIC FA, INC.	NPA ASSET MANAGEMENT, LLC	Jan 16, 2013	Jan 10, 2013	-6	Firm change	Other
TD AMERITRADE, INC.	OSAIC FA, INC.	Apr 19, 2005	Sep 11, 2006	510	Firm change after gap	Other
BNY MELLON ADVISORS, INC.	TD AMERITRADE, INC.	Mar 3, 2004	Apr 20, 2004	48	Firm change	Other

Relationships

Registered with (5)

→ NPA ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 5, 2015 to Dec 31, 2017factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Dec 3, 2014 to Nov 2, 2015factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Sep 11, 2006 to Jan 16, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 20, 2004 to Apr 19, 2005factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
May 21, 2001 to Mar 3, 2004factForm ADV

Dated events

No dated event names this entity yet.