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Guillermo Santiago

Npa Asset Management, LLC
34 Years of Experience
Hato Rey, PR
13 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Guillermo Santiago is a registered investment advisor at Npa Asset Management, LLC, based in Hato Rey, PR, with 34 years of industry experience. Guillermo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,746 clients with $1.1B in assets under management.

Npa Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
52 advisors
Number of Clients
2,746 clients
Average Client Portfolio
$388K average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Maximum annual account management fee is up to 3.00% and is negotiable. Fees vary by specific program, account size, and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

31 Calaf St, Hato Rey, PR, 00918

Get directions

History

Regulatory History (13)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2021
Settled
Customer Dispute
April 2019
Settled
Financial
March 2019
Final
Customer Dispute
December 2018
Settled
Customer Dispute
September 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
April 2017
Settled
Customer Dispute
October 2016
Denied
Customer Dispute
August 2016
Settled
Customer Dispute
January 2016
Settled
Customer Dispute
November 2015
Award / Judgment
Customer Dispute
May 2015
Settled
Customer Dispute
March 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Guillermo is an independent insurance agent working through various agencies.

Employment History
Current Registrations
Npa Asset Management, LLC
January 2018 - Present · 8 yrs 9 mos
Nationwide Planning Associates INC.Broker
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
Npa Asset Management, LLC
July 2017 - December 2017 · 5 mos
Oriental Financial Services CORP.
December 2015 - July 2017 · 1 yr 7 mos
Oriental Financial Services CORP.Broker
August 2013 - July 2017 · 3 yrs 11 mos
Ofs Securities, INC.Broker
December 2010 - August 2013 · 2 yrs 8 mos
Wells Fargo Advisors, LLC
April 2008 - December 2010 · 2 yrs 8 mos
Wells Fargo Advisors, LLCBroker
September 2007 - December 2010 · 3 yrs 3 mos
UBS Financial Services INC.Broker
January 2000 - September 2007 · 7 yrs 8 mos
UBS Financial Services Incorporated of Puerto RicoBroker
January 2000 - September 2007 · 7 yrs 8 mos
Santander SecuritiesBroker
December 1996 - January 2000 · 3 yrs 1 mo
Marketing One Securities, INC.Broker
July 1994 - December 1996 · 2 yrs 5 mos
New England SecuritiesBroker
July 1991 - March 1994 · 2 yrs 8 mos
State Registrations5 states
FLGANCPRTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Guillermo Santiago - Financial Advisor | TrueAdvisor