Miguel A. Pascual

NPA ASSET MANAGEMENT

Hato Rey, PR 00918

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CRD#: 717189

Professional summary

Miguel Andres Pascual, who also goes by Miguel Andres Pascual Velez, Miguel Pascual Velez, is a registered financial advisor currently at NPA ASSET MANAGEMENT, LLC located in Hato Rey, and NATIONWIDE PLANNING ASSOCIATES INC. located in Hato Rey, .

Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Miguel has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 5, Series 7, Series 12, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Miguel Andres Pascual Velez | Miguel Pascual Velez

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.

INDEPENDENT INSURANCE AGENT THROUGH VARIOUS AGENCIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Andres Pascual'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

March 27, 2018 - Present

NPA ASSET MANAGEMENT, LLC

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

RIA

CRD#: 131534

Hato Rey, PR

Current

February 28, 2018 - Present

NATIONWIDE PLANNING ASSOCIATES INC.

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

CRD#: 31029

Hato Rey, PR

Past

February 28, 2018 - February 28, 2018

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

San Juan, PR

Past

June 12, 2015 - March 2, 2018

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

SAN JUAN, PR

Past

March 30, 2015 - March 2, 2018

AEGIS CAPITAL CORP.

CRD#: 15007

SAN JUAN, PR

Past

August 28, 2012 - December 31, 2013

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PONCE, PR

Past

January 11, 2002 - April 17, 2015

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

PONCE, PR

Past

January 11, 2002 - April 17, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PONCE, PR

Past

September 9, 1996 - January 23, 2002

DORAL SECURITIES, INC.

CRD#: 40944

PUERTO NUEVO, PR

Past

September 27, 1994 - June 8, 1996

BANKERS TRUST CARIBE CAPITAL MARKETS, INC.

CRD#: 26702

Past

February 4, 1985 - September 29, 1994

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

October 22, 1980 - September 29, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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.

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

District of Columbia
(2/28/2018)

Florida
(4/5/2018)

Georgia
(9/26/2022)

New Jersey
(4/5/2018)

New York
(2/28/2018)

Puerto Rico
(3/27/2018)

IAR

Puerto Rico
(3/27/2018)

Texas
(9/22/2022)

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: 3/23/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/18/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 11/18/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/18/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 12

Date: 2/27/2002

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 12/16/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/20/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/1991

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Miguel A. Pascual

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel Andres Pascual's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE PLANNING ASSOCIATES INC.

NPA ASSET MANAGEMENT, LLC

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

DORAL SECURITIES, INC.

BANKERS TRUST CARIBE CAPITAL MARKETS, INC.

POPULAR SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

NPA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2011

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 1/18/1986

Series 5

Date: 11/18/1981

Series 7

Date: 10/18/1980

Series 12

Date: 2/27/2002

Series 4

Date: 12/16/1997

Series 53

Date: 6/20/1996

Series 24

Date: 9/7/1991

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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