Jose A. Ramos Rios

NPA ASSET MANAGEMENT

Hato Rey, PR 00918

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CRD#: 4159163

Professional summary

Jose Arturo Ramos Rios, who also goes by Jose Arturo Ramos, Pepe Ramos, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Hato Rey, and NATIONWIDE PLANNING ASSOCIATES INC. located in Hato Rey, .

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jose has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jose Arturo Ramos | Pepe Ramos

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.

Golf - Personal, Professional Services / Give golf lessons, participate in professional golf tournaments, selling and representing golf products /Start Date: 9/12/2022/ Time spent = 15% specially in weekends / Compensation = fees for teaching lessons, profits from products, may earn income from tournaments / Non-investment related. time spent during regular business hours- 10%, compensation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Arturo Ramos Rios'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 21, 2021 - Present

NPA ASSET MANAGEMENT, LLC

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

RIA

CRD#: 131534

Hato Rey, PR

Current

January 21, 2021 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Hato Rey, PR

Past

June 10, 2013 - January 21, 2021

POPULAR SECURITIES, LLC

RIA

CRD#: 8096

SAN JUAN, PR

Past

August 8, 2011 - February 23, 2012

POPULAR SECURITIES, LLC

RIA

CRD#: 8096

SAN JUAN, PR

Past

November 29, 2010 - January 21, 2021

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

April 2, 2008 - November 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GUAYNABO, PR

Past

March 27, 2007 - March 27, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GUAYNABO, PR

Past

March 22, 2007 - November 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GUAYNABO, PR

Past

July 25, 2000 - April 3, 2007

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

GUAYNABO, PR

Past

July 25, 2000 - April 3, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GUAYNABO, PR

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
(2/22/2021)

Puerto Rico
(1/21/2021)

IAR

Puerto Rico
(1/21/2021)

South Carolina
(1/21/2021)

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: 3/27/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2000

General Securities 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

Jose A. Ramos Rios

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Arturo Ramos Rios's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

POPULAR SECURITIES, LLC

POPULAR SECURITIES, LLC

POPULAR SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2008

Series 66

Date: 11/28/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2000

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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