Ricardo J. Rodriguez Leon

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CRD#: 5999445

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ricardo Javier Rodriguez Leon, who also goes by Ricardo J Rodriguez, Ricardo J Rodriguez Leon, R J Rodriguez-leon, Ricardo Javier Rodriguez-leon, was a registered financial professional .

Ricardo is a previously registered financial professional and started their career in finance in 2012. Ricardo had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ricardo J Rodriguez | Ricardo J Rodriguez Leon | R J Rodriguez-Leon | Ricardo Javier Rodriguez-Leon

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2015 - December 31, 2016

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

HATO REY, PR

Past

December 23, 2014 - December 31, 2016

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

HATO REY, PR

Past

May 14, 2013 - September 27, 2013

FOREFRONT CAPITAL MARKETS LLC

CRD#: 151812

NEW YORK, NY

Past

January 6, 2012 - July 27, 2012

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

SAN JUAN, PR

Past

January 6, 2012 - July 27, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 2/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2012

General Securities Representative 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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Ricardo J. Rodriguez Leon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

FOREFRONT CAPITAL MARKETS 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 66

Date: 2/9/2012

SIE

Date: 12/31/2016

Series 7

Date: 1/5/2012

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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