Lorenzo A. Aufiero

NPA ASSET MANAGEMENT

Huntington, NY 11743

Some features on this profile are disabled

CRD#: 2705500

Professional summary

Lorenzo A Aufiero, who also goes by Lorenzo Aufiero, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Huntington, New York and NATIONWIDE PLANNING ASSOCIATES INC. located in Huntington, New York.

Lorenzo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Lorenzo has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lorenzo Aufiero

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.

NASSAU COUNTY DEPT OF SOCIAL SERVICES, UNIONDALE, NY 11553. NON-INVESTMENT RELATED. START DATE 7/18/2007. CHILD SUPPORT INVESTIGATOR, 60 HOURS/MONTH DURING TRADING HOURS. 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: 3/16/2005. INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES. PERSONAL INCOME TAX PREPARATION, NON-INVESTMENT RELATED, START DATE: 2/2008, 20 HOURS/MONTH FEB-APRIL 2008, NOT DURING TRADING HOURS. NASSAU CTY SOCIAL SERVICES, NON-INVESTMENT RELATED, UNIONDALE, NY, CHILD PROTECTION SVC., START DATE: 12/1/08, VISITATION WITH FAMILIES IN NASSAU COUNTY, 150 HRS/MONTH, 120 HRS/MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorenzo A Aufiero'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 11, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: 775 Park Avenue Suite 220, Huntington, NY 11743

RIA

CRD#: 131534

Huntington, NY

Current

June 5, 2002 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 775 Park Avenue Suite 220, Huntington, NY 11743

CRD#: 31029

Huntington, NY

Past

March 18, 2005 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

HUNTINGTON, NY

Past

March 29, 1996 - June 6, 2002

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, 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
(6/5/2002)

Florida
(6/5/2002)

New Jersey
(3/2/2006)

IAR

New Jersey
(1/11/2018)

New Mexico
(11/6/2002)

New York
(6/5/2002)

Ohio
(1/9/2014)

South Carolina
(11/26/2024)

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: 3/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/1996

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: 3/27/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/5/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/1999

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lorenzo A. Aufiero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorenzo A Aufiero's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 63

Date: 3/6/1996

SIE

Date: 10/1/2018

Series 7

Date: 3/27/1996

Series 4

Date: 10/5/1999

Series 24

Date: 6/21/1999

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

Contact information

Similar Advisors