Eugene P. Napolitano
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 Paul Napolitano, who also goes by Gene Napolitano, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1996. Eugene had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 25, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2016 - June 1, 2023
LOOP CAPITAL MARKETS LLC
November 3, 2014 - June 3, 2016
TOPEKA CAPITAL MARKETS INC.
April 15, 2014 - October 15, 2014
DREXEL HAMILTON, LLC
February 27, 2012 - April 23, 2014
MAXIM GROUP LLC
July 11, 2011 - February 6, 2012
KAUFMAN BROS., L.P.
July 17, 2009 - March 29, 2011
CAPSTONE INVESTMENTS
September 2, 2008 - May 20, 2009
PACIFIC AMERICAN SECURITIES, LLC
August 20, 2008 - April 28, 2009
LOMBARDI & CO., INC.
December 16, 2004 - August 27, 2008
ABN AMRO CLEARING USA LLC
February 4, 2003 - December 31, 2004
BAKER & CO., INCORPORATED
January 3, 2003 - January 31, 2003
CARLIN EQUITIES, LLC
January 11, 1996 - December 20, 2001
SANTANDER INVESTMENT SECURITIES INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 3/2/2004
NYSE Trading Assistant ExaminationSeries 55
Date: 8/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
