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John Scott Costa

Description

John Costa a financial professional at Npa Asset Management, LLC, a broker-dealer with 35 registered representatives nationwide. John is also registered with Nationwide Planning Associates Inc., a broker-dealer with 49 registered representatives NJ. John has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

John Scott Costa has not answered any questions on Financial Q&A.

Top Guides

John Scott Costa has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Nationwide Planning Associates 4 years, 8 months Sep 2008 - Present
Royal Alliance Associates, Inc. 4 years, 2 months Jul 2004 - Sep 2008
United Planners Financial Services of America 3 years, 7 months Dec 2000 - Jul 2004
John Costa / Self Employed 18 years, 11 months Jul 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/28/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute
As of Date
07/28/2011
07/28/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 07/10/2001
Uniform Securities Agent State Law Examination Series 63 06/04/2001
General Securities Principal Examination Series 24 04/09/2001
General Securities Representative Examination Series 7 11/16/1999
Investment Company Products/Variable Contracts Representative Examination Series 6 07/25/1994

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets