Richard F. Fitzgerald

NPA ASSET MANAGEMENT

Huntington, NY 11743

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CRD#: 1349717

Professional summary

Richard Francis Fitzgerald is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Huntington, New York and NATIONWIDE PLANNING ASSOCIATES INC. located in Huntington, New York.

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 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) RICHARD FITZGERALD TAX PREPARATION, NON INVESTMENT RELATED, START DATE 1995. 2) 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: 4/2005. 3) INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Francis Fitzgerald'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: 775 Park Avenue Suite 220, Huntington, NY 11743

RIA

CRD#: 131534

Huntington, NY

Current

June 5, 2002 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 775 Park Avenue Suite 220, Huntington, NY 11743

CRD#: 31029

Huntington, NY

Past

April 28, 2005 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

HUNTINGTON, NY

Past

October 14, 1992 - June 5, 2002

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

January 5, 1988 - October 16, 1992

FIRST EASTERN EQUITY CORP.

CRD#: 7331

ARMONK, NY

Past

January 14, 1987 - January 11, 1988

JONATHAN ALAN & CO., INC.

CRD#: 15914

Past

March 19, 1985 - February 3, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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

Connecticut
(6/5/2002)

Delaware
(1/15/2013)

Florida
(6/5/2002)

Indiana
(2/22/2007)

Maine
(9/27/2013)

New Jersey
(6/5/2002)

IAR

New Jersey
(1/9/2018)

New York
(6/5/2002)

Vermont
(1/8/2024)

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 66

Date: 4/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/1/1985

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: 5/11/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1985

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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Firm Stability Insights

Richard F. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Francis Fitzgerald's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

FIRST EASTERN EQUITY CORP.

JONATHAN ALAN & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2005

Series 63

Date: 4/1/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2000

Series 6

Date: 3/18/1985

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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