Chief Compliance Officer · NPA Asset Management, LLC
James S Colleary
CRD 5844640 · Named on Form ADV at one SEC-registered adviser
At a glance
NPA Asset Management, LLC, an SEC-registered broker-dealer firm based in Fair Lawn, NJ with $1.1 billion in regulatory assets, lists James S Colleary on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- NPA Asset Management, LLCChief Compliance OfficerBroker-dealer firm · Fair Lawn, NJ · $1.1B in regulatory assets
AtlasMembers
James’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2014 (12 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Michael J. De PolFounder and Chairmam of the Board, NPA Asset Management, LLC
- Michael J KaralewichChief Executive Officer, NPA Asset Management, LLC
- Peter AbramenkoCo-Chairman of the Board, NPA Asset Management, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.