Carmelo Arce Alvarez

NPA ASSET MANAGEMENT

Hato Rey, PR 00918

Some features on this profile are disabled

CRD#: 5526419

Professional summary

Carmelo Arce Alvarez, who also goes by Carmelo Arce, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Hato Rey, and NATIONWIDE PLANNING ASSOCIATES INC. located in Hato Rey, .

Carmelo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Carmelo has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carmelo Arce

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.CARMELO ARCE INV REL: N ADD: COND. BAYAMONTE APT 2008 BAYAMON PR 00956 NATURE: SALES OF INSURANCE RELATED PRODUCTS WITH OTHER COMPANIES POSITION: INSURANCE AGENT DATE: 10/27/2010 HR/MO: 4 HR/MO DURING SEC TRADING: 0 DUTIES: SALES OF INSURANCE. 2. UBER- 11/28/2023 POSITION: DRIVER: USING OWN CAR TO TRANSPORT RIDERS WHO PLACE ORDERS THROUGH THE UBER APP. ONGOING- COMPENSATION THROUGH COMMISSIONS. NO FINANCIAL INTEREST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carmelo Arce Alvarez'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 3, 2018 - Present

NPA ASSET MANAGEMENT, LLC

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

RIA

CRD#: 131534

Hato Rey, PR

Current

March 3, 2014 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Hato Rey, PR

Past

October 9, 2014 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

HATO REY, PR

Past

January 9, 2009 - March 7, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN JUAN, 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
(4/2/2014)

Puerto Rico
(3/3/2014)

IAR

Puerto Rico
(1/3/2018)

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: 10/8/2014

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: 2/17/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/8/2009

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)

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.

Similar Advisors

Hazan Akgun

J.P. MORGAN SECURITIES LLC

Clifton, NJ

Cheryl Williams

MORGAN STANLEY

PURCHASE, NY

Jeffrey Norris

WELLS FARGO CLEARING SERVICES, LLC

ST. LOUIS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carmelo Arce Alvarez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carmelo Arce Alvarez's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2011

Series 6

Date: 1/8/2009

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

Similar Advisors