Seaver T. Wang

KARAGOSIAN FINANCIAL SERVICES,

Croton On Hudson, NY 10520

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CRD#: 4643543

Professional summary

Seaver Thomas Wang is a registered financial advisor currently at KARAGOSIAN FINANCIAL SERVICES, INC located in Croton On Hudson, New York and NPA ASSET MANAGEMENT, LLC located in Croton On Hudson, New York.

Seaver is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Seaver has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) DUALLY REGISTERED WITH NPA ASSET MANAGEMENT (RIA), 32-16 BROADWAY, 2ND FLOOR, FAIR LAWN, NJ 07410. INVESTMENT RELATED, START DATE 2/11/2011. 2) KARAGOSIAN FINANCIAL SERVICES, RIA, START DATE 12/2010, PRESIDENT. 3) Landlord, rental property; start date 09/2016; 0% time spent during regular business hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seaver Thomas Wang'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 14, 2011 - Present

KARAGOSIAN FINANCIAL SERVICES, INC

Office #1: 1 Baltic Place 201d, Croton On Hudson, NY 10520

RIA

CRD#: 124532

Croton On Hudson, NY

Current

January 9, 2018 - Present

NPA ASSET MANAGEMENT, LLC

Office #1: 1 Baltic Place 201d, Croton On Hudson, NY 10520

RIA

CRD#: 131534

Croton on Hudson, NY

Past

October 29, 2013 - December 3, 2024

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

Croton on Hudson, NY

Past

March 27, 2012 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

Croton on Hudson, NY

Past

February 11, 2011 - July 22, 2014

ABRAMENKO & COMPANY, INC.

CRD#: 21406

NEW YORK, NY

Past

August 19, 2009 - July 8, 2010

HFP CAPITAL MARKETS LLC

CRD#: 44351

NEW YORK, NY

Past

March 15, 2005 - August 18, 2009

UTENDAHL CAPITAL PARTNERS, L.P.

CRD#: 30115

NEW YORK, NY

Past

April 17, 2003 - February 18, 2005

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/17/2023)

IAR

New Jersey
(1/14/2011)

IAR

New York
(8/11/2021)

IAR

Texas
(7/19/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 11/12/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 10/27/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 4/15/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2005

General Securities Principal Examination

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

Seaver T. Wang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seaver Thomas Wang's CRS (Customer Relationship Summary).

Certified licenses

Experience

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

ABRAMENKO & COMPANY, INC.

HFP CAPITAL MARKETS LLC

UTENDAHL CAPITAL PARTNERS, L.P.

SIDOTI & COMPANY, LLC

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2010

Series 63

Date: 5/22/2003

SIE

Date: 10/1/2018

Series 87

Date: 11/12/2004

Series 86

Date: 10/27/2004

Series 7

Date: 4/15/2003

Series 24

Date: 9/1/2005

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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