William G. Roll

NPA ASSET MANAGEMENT

Fair Lawn, NJ 07410

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CRD#: 1617305

Professional summary

William George Roll III, who also goes by Bill Roll, Tertius Roll, William G Roll 3rd, 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.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Roll | Tertius Roll | William G Roll 3rd

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) NON SECURITIES RELATED - 401 K RETIREMENT PARTNERS, LLC. 32-16 BROADWAY, 2ND FLOOR, FAIR LAWN, NJ 07410. ANALYZING 401K PLANS, HELPING TRUSTEES UNDERSTAND RESPONSABILITIES, FEES ASSOCIATED WITH PLANS AND PROVIDING SOLUTIONS FOR IMPROVMENTS. STARTED 7/1/08, PRESIDENT CO-FOUNDER 0 COMPENSATION 10 HOURS PER MONTH 1 HOUR DURING MARKET HOURS 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: 11/29/2010 3)INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES 4)NON SECURITIES RELATED - SOCCER GOALIE COACH, BREWSTER NY HIGH SCHOOL, 1-3 SESSIONS PER WEEK, COMPENSATION $85 PER SESSION. START DATE: JUNE 8, 2015 5)INVESTMENT RELATED - PRESIDENT OF 401(K) RETIREMENT PARTNERS, LLC, PROVIDING 401K CONSULTING SERVICES TO COMPANIES ASSOCIATED WITH COLEMAN RESEARCH GROUP, 1-2 HOURS PER YEAR, COMPENSATION, $290 PER HOUR. START DATE 07/01/2015.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William George Roll III'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

December 6, 2010 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Fair Lawn, NJ

Past

December 6, 2010 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

March 3, 2006 - December 9, 2010

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

April 8, 2004 - December 7, 2010

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

PARSIPPANY, NJ

Past

March 13, 2003 - November 25, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

STAMFORD, CT

Past

March 5, 2003 - November 25, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 24, 1994 - June 9, 1994

T.R. WINSTON & COMPANY, LLC

CRD#: 10571

Past

July 11, 1991 - February 9, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

May 22, 1989 - July 23, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

June 23, 1987 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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

Alabama
(9/30/2025)

Colorado
(12/6/2010)

Connecticut
(12/6/2010)

Florida
(12/6/2010)

Georgia
(12/6/2010)

Massachusetts
(4/25/2022)

Nevada
(1/25/2017)

New Hampshire
(3/1/2019)

New Jersey
(12/6/2010)

IAR

New Jersey
(1/9/2018)

New York
(12/6/2010)

North Carolina
(10/11/2024)

Oklahoma
(11/17/2021)

Pennsylvania
(12/6/2010)

South Carolina
(9/13/2013)

Texas
(10/20/2016)

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: 3/12/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/26/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/1987

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: 2/24/2003

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/28/1987

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2005

General Securities Principal 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.

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Firm Stability Insights

William G. Roll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William George Roll III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

T.R. WINSTON & COMPANY, LLC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2003

Series 65

Date: 10/26/1992

Series 63

Date: 5/4/1987

SIE

Date: 10/1/2018

Series 7

Date: 2/24/2003

Series 3

Date: 7/28/1987

Series 24

Date: 2/11/2005

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

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