Guillermo Santiago

NPA ASSET MANAGEMENT

Hato Rey, PR 00918

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CRD#: 2120981

Professional summary

Guillermo Santiago, who also goes by Guillermo Santiago Laborde, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Hato Rey, and NATIONWIDE PLANNING ASSOCIATES INC. located in Hato Rey, .

Guillermo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Guillermo has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Guillermo Santiago Laborde

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.

INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES. 1. Guillermo Santiago Y Roxanna Castaner. Start date: 07/01/2025. Description: Rent Property for one year as a residence. Duties: Administrator-coordinate services or repairs needed during the rented period. 50% represented interest. 5% of regular business hours spent on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guillermo Santiago'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 12, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: 31 Calaf St, Hato Rey, PR 00918

RIA

CRD#: 131534

Hato Rey, PR

Current

July 3, 2017 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: #31 Calaf Street, Hato Rey, PR 00918

CRD#: 31029

Hato Rey, PR

Past

July 18, 2017 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

Hato Rey, PR

Past

December 8, 2015 - July 3, 2017

ORIENTAL FINANCIAL SERVICES LLC

RIA

CRD#: 29753

SAN JUAN, PR

Past

August 9, 2013 - July 3, 2017

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

Past

December 10, 2010 - August 8, 2013

OFS SECURITIES, INC.

CRD#: 39615

HATO REY, PR

Past

April 2, 2008 - December 7, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GUAYNABO, PR

Past

September 21, 2007 - December 7, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GUAYNABO, PR

Past

January 12, 2000 - September 26, 2007

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

SANTURCE, PR

Past

January 12, 2000 - September 26, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SANTURCE, PR

Past

December 10, 1996 - January 7, 2000

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

July 12, 1994 - December 2, 1996

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

July 9, 1991 - March 1, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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

Florida
(10/23/2017)

Georgia
(8/20/2021)

Puerto Rico
(7/3/2017)

IAR

Puerto Rico
(1/12/2018)

Texas
(9/9/2022)

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: 3/28/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/1991

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.

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Advisor Monitoring

Firm Stability Insights

Guillermo Santiago

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guillermo Santiago's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

ORIENTAL FINANCIAL SERVICES LLC

ORIENTAL FINANCIAL SERVICES LLC

OFS SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

SANTANDER SECURITIES LLC

MARKETING ONE SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2008

SIE

Date: 10/1/2018

Series 7

Date: 2/3/1996

Series 6

Date: 7/6/1991

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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