Gerald F. Jones

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CRD#: 2492316

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerald Francis Jones, who also goes by Gerald F Jones Jr, Gerald F Jones, Gerald Jones, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1994. Gerald had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gerald F Jones Jr | Gerald F Jones | Gerald Jones

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 19, 2019 - November 25, 2020

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

November 19, 2019 - November 25, 2020

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

PARAMUS, NJ

Past

January 3, 2019 - June 7, 2019

SUMMIT FINANCIAL, LLC

RIA

CRD#: 299322

Parsippany, NJ

Past

October 2, 2018 - June 14, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

June 20, 2018 - September 25, 2018

SUMMIT FINANCIAL RESOURCES INC

RIA

CRD#: 104990

Parsippany, NJ

Past

May 18, 2018 - December 27, 2018

SUMMIT EQUITIES, INC.

RIA

CRD#: 11039

PARSIPPANY, NJ

Past

April 26, 2018 - October 3, 2018

SUMMIT EQUITIES, INC.

CRD#: 11039

PARSIPPANY, NJ

Past

September 29, 2006 - July 31, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FLORHAM PARK, NJ

Past

September 29, 2006 - July 31, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FLORHAM PARK, NJ

Past

January 7, 1997 - October 4, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FLORHAM PARK, NJ

Past

October 14, 1994 - October 4, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FLORHAM PARK, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/13/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/9/1994

General Securities Representative Examination

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

Gerald F. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

SUMMIT FINANCIAL, LLC

PURSHE KAPLAN STERLING INVESTMENTS

SUMMIT FINANCIAL RESOURCES INC

SUMMIT EQUITIES, INC.

SUMMIT EQUITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/10/1994

Series 63

Date: 7/27/1994

SIE

Date: 10/1/2018

Series 31

Date: 7/13/1999

Series 7

Date: 7/9/1994

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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