Wilfred Guzman

NPA ASSET MANAGEMENT

Fair Lawn, NJ 07410

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CRD#: 2644576

Professional summary

Wilfred Guzman JR, who also goes by Wilfredo Guzman, Willie Guzman Jr, 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.

Wilfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Wilfred has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wilfredo Guzman | Willie Guzman Jr

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.

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: 1/8/2010. INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES. 10/31/2014. SCARSDALE WEALTH MANAGEMENT INC., THIS ENTITY WILL SERVE AS A DBA IN SUPPORT OF EXISTING SECURITIES AND INSURANCE SERVICES OFFERED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wilfred Guzman JR'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

January 22, 2010 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Fair Lawn, NJ

Past

January 22, 2010 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PARAMUS, NJ

Past

January 22, 2010 - July 23, 2014

ABRAMENKO & COMPANY, INC.

CRD#: 21406

SCARSDALE, NY

Past

January 1, 2008 - January 12, 2010

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

SCARSDALE, NY

Past

January 1, 2005 - January 12, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

SCARSDALE, NY

Past

April 11, 2003 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 3, 2003 - April 7, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 31, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 20, 1996 - September 22, 1999

BARINGTON CAPITAL GROUP, L.P.

CRD#: 29383

NEW YORK, NY

Past

September 11, 1995 - March 21, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

Connecticut
(1/22/2010)

Florida
(3/5/2010)

New Jersey
(1/22/2010)

IAR

New Jersey
(1/9/2018)

New York
(1/22/2010)

Pennsylvania
(7/26/2022)

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 65

Date: 12/28/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1995

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: 10/20/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/8/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 6/30/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/29/2003

General Securities Sales Supervisor - General Module 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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Wilfred Guzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wilfred Guzman JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

ABRAMENKO & COMPANY, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

BARINGTON CAPITAL GROUP, L.P.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2007

Series 63

Date: 10/20/1995

SIE

Date: 10/1/2018

Series 31

Date: 10/20/1995

Series 7

Date: 9/8/1995

Series 24

Date: 5/18/2012

Series 9

Date: 6/30/2004

Series 10

Date: 9/29/2003

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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