Eugene M. Tupacz
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.
Eugene M Tupacz, who also goes by Eugene Michael Tupacz Jr, Eugene Michael Tupacz, Gene Tupacz, Mickey Tupacz Jr, Mickey Tupacz, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1983. Eugene had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2017 - October 4, 2018
NEXT FINANCIAL GROUP, INC.
July 21, 2017 - October 4, 2018
NEXT FINANCIAL GROUP, INC.
August 3, 2007 - July 24, 2017
INVESTMENT PROFESSIONALS, INC.
August 3, 2007 - July 24, 2017
INVESTMENT PROFESSIONALS, INC.
May 11, 2006 - August 14, 2007
RAYMOND JAMES & ASSOCIATES, INC.
March 5, 2001 - August 14, 2007
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - March 27, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 10, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
August 3, 1987 - October 17, 1994
RAUSCHER PIERCE REFSNES, INC.
January 19, 1983 - August 19, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
