Maurice J. Napoli
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.
Maurice Joseph Napoli JR was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1995. Maurice had worked at 8 firms and has passed the Series 63 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
October 14, 1999 - October 27, 1999
SHARPE CAPITAL, INC.
October 26, 1998 - August 3, 1999
J. BANKS COMPANY
June 10, 1998 - August 11, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
February 11, 1997 - August 7, 1997
SAUCEDA & GRANVILLE SECURITIES, INC.
September 25, 1996 - January 16, 1997
D.L. CROMWELL INVESTMENTS, INC.
February 27, 1996 - September 13, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
January 16, 1996 - February 21, 1996
LT LAWRENCE & CO., INC.
November 10, 1995 - December 14, 1995
MEYERS POLLOCK ROBBINS, 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
Current Firm
SHARPE CAPITAL, INC.
CRD#: 18452 / SEC#: , 8-36709
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
