John S. Costa

NPA ASSET MANAGEMENT

Cherry Hill, NJ 08002

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CRD#: 2516699

Professional summary

John Scott Costa is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Cherry Hill, New Jersey and NATIONWIDE PLANNING ASSOCIATES INC. located in Fair Lawn, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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) JOHN COSTA / SELF EMPLOYED - AGENT /REP - INSURANCE AND SECURITIES SALES - CHERRY HILL, NJ. 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: 9/8/2008. 2) OWNER OF BASTION ENTERPRISES, PURCHASE AND SELL REAL ESTATE AND PROVIDE RENTAL INCOME, NOT INVESTMENT RELATED. 5 HRS/MONTH NOT DURING TRADING HOURS. START DATE 11/2010 3)INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES. 4) ESTATE PLANNING THROUGH CSI GROUP, PROVIDE "ON LINE" DATA ENTRY AND INITIAL CONTACT WITH GUIDANCE FOR COMPLETE ESTATE PLAN FOR CLIENTS, $400/ CASE, AVG TOTAL COST $1900, START DATE 02/2019

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Scott Costa'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: 923 Haddonfield Rd Suite 300, Cherry Hill, NJ 08002

RIA

CRD#: 131534

Cherry Hill, NJ

Current

September 11, 2008 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Fair Lawn, NJ

Past

September 9, 2008 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

MOORESTOWN, NJ

Past

October 13, 2004 - September 11, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

ALLENTOWN, NJ

Past

July 20, 2004 - September 11, 2008

OSAIC WEALTH, INC.

CRD#: 23131

ALLENTOWN, NJ

Past

June 27, 2002 - July 21, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

MOORESTOWN, NJ

Past

December 14, 2000 - July 21, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

November 8, 1999 - December 14, 2000

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

January 21, 1999 - December 15, 1999

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 14, 1997 - January 25, 1999

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

July 17, 1996 - March 13, 1997

GATEWAY FINANCIAL AGENCY CORPORATION

CRD#: 35864

ARCADIA, FL

Past

January 11, 1995 - June 28, 1996

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

July 26, 1994 - December 31, 1994

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Delaware
(9/11/2008)

Florida
(9/11/2008)

Maryland
(9/11/2008)

New Jersey
(9/11/2008)

IAR

New Jersey
(1/9/2018)

North Carolina
(10/8/2012)

Ohio
(1/17/2023)

Pennsylvania
(9/11/2008)

South Carolina
(9/11/2008)

Texas
(1/5/2024)

Vermont
(10/21/2013)

Virginia
(9/11/2008)

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: 7/10/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/4/2001

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: 11/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/25/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2001

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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Advisor Monitoring

Firm Stability Insights

John S. Costa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Scott Costa's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FIRST MONTAUK SECURITIES CORP.

SII INVESTMENTS, INC.

THE INVESTMENT CENTER, INC.

GATEWAY FINANCIAL AGENCY CORPORATION

USLIFE EQUITY SALES CORP.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2001

Series 63

Date: 6/4/2001

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1999

Series 6

Date: 7/25/1994

Series 24

Date: 4/9/2001

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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