Richard J. Walsh

NPA ASSET MANAGEMENT

Fair Lawn, NJ 07410

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CRD#: 1340432

Professional summary

Richard John Walsh, who also goes by Richard John Szalkiewicz, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Fair Lawn, New Jersey and NATIONWIDE PLANNING ASSOCIATES INC. located in Fair Lawn, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard John Szalkiewicz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT INSURANCE AGENT,YES,571 JACKSON AVE, WASHINGTON TWP, NJ 07676,FIXED INSURANCE,INDEPENDENT INSURANCE AGENT,11/05/2014,10,0,SALE OF FIXED INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Walsh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 9, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: 32-16 Broadway 2nd Floor, Fair Lawn, NJ 07410

RIA

CRD#: 131534

Fair Lawn, NJ

Current

November 2, 2015 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 32-16 Broadway Ave 2nd Floor, Fair Lawn, NJ, 07410

CRD#: 31029

Fair Lawn, NJ

Past

November 5, 2015 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

December 3, 2014 - November 2, 2015

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Washington Twp, NJ

Past

November 26, 2014 - November 2, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Washington Twp, NJ

Past

January 10, 2013 - November 28, 2014

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

January 10, 2013 - November 28, 2014

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

PARAMUS, NJ

Past

September 11, 2006 - January 16, 2013

OSAIC FA, INC.

RIA

CRD#: 3978

PARAMUS, NJ

Past

September 11, 2006 - January 16, 2013

OSAIC FA, INC.

CRD#: 3978

PARAMUS, NJ

Past

September 15, 2005 - September 6, 2006

M&T SECURITIES, INC.

CRD#: 17358

VILLAGE OF MONTEBELLO, NY

Past

April 19, 2005 - September 15, 2005

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

April 20, 2004 - April 19, 2005

TD AMERITRADE, INC.

RIA

CRD#: 7870

JERSEY CITY, NJ

Past

April 20, 2004 - April 19, 2005

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

December 15, 2003 - March 3, 2004

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 21, 2001 - March 3, 2004

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

February 23, 2001 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

Past

August 12, 1997 - February 9, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 11, 1985 - July 2, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NPA ASSET MANAGEMENT, LLC

CRD#: 131534 / SEC#: 801-66006

RIA

Registered Investment Advisory firm - (2/23/2006 Approved)

New Jersey

Registered Investment Advisory firm - (8/12/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/19/2022)

New Jersey
(11/2/2015)

IAR

New Jersey
(1/9/2018)

New York
(11/2/2015)

North Carolina
(11/2/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/1997

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 12/8/1988

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 2/21/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/8/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NPA ASSET MANAGEMENT, LLC

CRD#: 131534 / SEC#: 801-66006

RIA

Registered Investment Advisory firm - (2/23/2006 Approved)

New Jersey

Registered Investment Advisory firm - (8/12/2011 Terminated)

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Contact information

Main Address

32-16 Broadway 2nd Floor, Fair Lawn, NJ 07410

Mailing Address

Phone number

(201) 476-0029

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NPA ASSET BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,855
AUM (Assets Under Management)	$ 1,009,851,764

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard J. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

OSAIC FA, INC.

OSAIC FA, INC.

M&T SECURITIES, INC.

VP DISTRIBUTORS LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PERSHING LLC

BNY ADVISORS

LOCKWOOD FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2000

Series 63

Date: 2/22/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/13/1997

Series 62

Date: 12/8/1988

Series 22

Date: 2/21/1985

Series 6

Date: 2/8/1985

FINRA

Current Firm

NPA ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NPA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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