Francis J. Mckinley

NPA ASSET MANAGEMENT

East Hanover, NJ 07936

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CRD#: 3228176

Professional summary

Francis Joseph Mckinley, who also goes by Chip Mckinley, Frank Mckinley, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in East Hanover, New Jersey and NATIONWIDE PLANNING ASSOCIATES INC. located in East Hanover, New Jersey.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Francis has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chip Mckinley | Frank Mckinley

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)TEACHING COMPLIANCE APPROVED RETIREMENT COURSE FOR ADULT EDUCATION AT LOCAL HIGH SCHOOLS. NO MONETARY COMPENSATION - NIGHTS AND WEEKENDS. 2) FRANKLY FINANCIAL,DBA,COMPENSATED VIA COMMISSIONS AND CONDUCTS FINANCIAL ACTIVITIES WITH SAME CLIENT BASE AS FOR THE BD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Joseph Mckinley'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: 119 Cedar Street, East Hanover, NJ 07936

RIA

CRD#: 131534

East Hanover, NJ

Current

March 16, 2010 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

Office #1: 119 Cedar Street, East Hanover, NJ 07936

CRD#: 31029

East Hanover, NJ

Past

March 16, 2010 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

EAST HANOVER, NJ

Past

February 4, 2010 - February 4, 2010

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

FAIR LAWN, NJ

Past

February 3, 2010 - February 4, 2010

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

FAIR LAWN, NJ

Past

October 29, 2008 - December 31, 2009

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

EAST HANOVER, NJ

Past

July 23, 2001 - March 23, 2010

CADARET, GRANT & CO., INC.

CRD#: 10641

EAST HANOVER, NJ

Past

October 1, 2000 - December 18, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 8, 2000 - July 16, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 8, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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
(3/16/2010)

Delaware
(7/3/2023)

Florida
(5/29/2013)

New Hampshire
(7/15/2021)

New Jersey
(3/16/2010)

IAR

New Jersey
(1/9/2018)

New York
(3/16/2010)

North Carolina
(7/3/2023)

Ohio
(9/5/2012)

Pennsylvania
(3/16/2010)

Rhode Island
(3/16/2010)

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: 4/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1999

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: 4/27/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/29/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1999

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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Advisor Monitoring

Firm Stability Insights

Francis J. Mckinley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Joseph Mckinley's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2000

Series 63

Date: 7/9/1999

SIE

Date: 10/1/2018

Series 31

Date: 4/27/2000

Series 7

Date: 3/29/2000

Series 6

Date: 7/7/1999

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

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