Miguel O. Morales-corujo

NPA ASSET MANAGEMENT

Roanoke, VA

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CRD#: 5896066

Professional summary

Miguel Oscar Morales-corujo, who also goes by Miguel Corujo, Miguel Morales, Miguel "mike" Morales, Mike Morales, Miguel Morales-corujo Esq., is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Roanoke, Virginia and NATIONWIDE PLANNING ASSOCIATES INC. located in Roanoke, Virginia.

Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Miguel has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Miguel Corujo | Miguel Morales | Miguel "mike" Morales | Mike Morales | Miguel Morales-Corujo Esq.

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. RENTAL PROPERTY, INV RELATED, NEWARK, DE, 100% OWNERSHIP WITH SPOUSE, START 3/1/2023, 10 HOURS PER MONTH, ZERO HOURS DURING TRADING. 2. PA LAW LICENSE; NOT INV. RELATED; NEWARK,DE; START DATE 01/01/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; CE FOR LAW LICENSE. 3. BLUE EYES BOUTIQUE LLC; NOT INV. RELATED; ROANOKE, VA; 49% OWNERSHIP; VICE PRESIDENT; ONLINE BOUTIQUE AND THRIFT STORE; START DATE 8/19/2024, 10 HOURS PER MONTH; 0 HOURS DURING BUSINESS HOURS; DUTIES: HELP WITH STRATEGIC DECISIONS. 4. NOTARY, NOT INV. RELATED, PROVIDING NOTARY SERVICES UNDER VIRGINIA LAW IN VIRGINIA STATE ONLY, 0 HOURS DURING BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Oscar Morales-corujo'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

September 10, 2025 - Present

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

Roanoke, VA

Current

September 10, 2025 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

Roanoke, VA

Past

March 22, 2023 - August 6, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROANOKE, VA

Past

January 27, 2023 - August 6, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROANOKE, VA

Past

February 11, 2021 - December 5, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CENTER VALLEY, PA

Past

November 18, 2020 - December 5, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

CENTER VALLEY, PA

Past

July 13, 2015 - October 20, 2015

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

SAN JUAN, PR

Past

May 21, 2015 - October 20, 2015

KOVACK SECURITIES INC.

CRD#: 44848

SAN JUAN, PR

Past

April 29, 2013 - January 10, 2014

KOVACK SECURITIES INC.

CRD#: 44848

SAN JUAN, PR

Past

August 14, 2012 - May 6, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

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

North Carolina
(9/10/2025)

IAR

North Carolina
(9/10/2025)

Virginia
(9/10/2025)

IAR

Virginia
(9/10/2025)

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: 12/11/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/13/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/27/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2012

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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Miguel O. Morales-corujo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Oscar Morales-corujo's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2020

Series 7TO

Date: 11/13/2020

SIE

Date: 8/27/2020

Series 7

Date: 8/13/2012

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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