Luis A. Casaresmaduro

NPA ASSET MANAGEMENT

San Juan, PR 00926

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CRD#: 2828978

Professional summary

Luis Alejandro Casaresmaduro, who also goes by Luis Alejandro Casares, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in San Juan, and NATIONWIDE PLANNING ASSOCIATES INC. located in Hato Rey, .

Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Luis has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luis Alejandro Casares

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: 2/28/2018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Alejandro Casaresmaduro'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

February 28, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: Montehiedra Office Centre 9615 Los Romero Ave, Ste 511, San Juan, PR 00926

RIA

CRD#: 131534

San Juan, PR

Current

February 28, 2018 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Hato Rey, PR

Past

May 20, 2016 - March 2, 2018

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

SAN JUAN, PR

Past

May 16, 2016 - March 2, 2018

AEGIS CAPITAL CORP.

CRD#: 15007

SAN JUAN, PR

Past

August 8, 2013 - May 16, 2016

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

Past

May 21, 2007 - August 8, 2013

OFS SECURITIES, INC.

CRD#: 39615

HATO REY, PR

Past

July 15, 1998 - June 5, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BAYAMON, PR

Past

January 28, 1997 - November 16, 1998

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

Florida
(2/28/2018)

Puerto Rico
(2/28/2018)

IAR

Puerto Rico
(2/28/2018)

Texas
(7/31/2018)

Washington
(2/23/2022)

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: 12/18/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1997

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: 8/26/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/18/1997

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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Firm Stability Insights

Luis A. Casaresmaduro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Alejandro Casaresmaduro's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

ORIENTAL FINANCIAL SERVICES LLC

OFS SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2001

Series 63

Date: 1/18/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/26/1998

Series 6

Date: 1/18/1997

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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