James S Colleary
Professional Summary
James S Colleary is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Fair Lawn, New Jersey and NATIONWIDE PLANNING ASSOCIATES INC. located in Lebanon, New Jersey. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 3 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
NPA ASSET MANAGEMENT, LLC
Contact Information
Main Address
32-16 Broadway 2nd Floor, Fair Lawn, NJ 07410Phone Number
(201) 476-0029# of Employees
68SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,746AUM (Assets Under Management)
$1,064,773,417Similar Advisors
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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.
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Primary Firm SEC Registration
NPA ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(9/14/2018)
(9/8/2023)
(5/29/2018)
(1/9/2018)
(9/11/2018)
(9/6/2022)
(1/10/2024)
(6/15/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James S Colleary's CRS (Customer Relationship Summary).
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