Eugene A. Naparst
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 Abraham Naparst, who also goes by Gene Naparst, was a registered financial advisor .
Eugene is a previously registered financial advisor and started their career in finance in 1972. Eugene had worked at 6 firms and has passed the Series 65, Series 63, Series 15, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2009 - September 10, 2010
UBS FINANCIAL SERVICES INC.
February 2, 2009 - September 10, 2010
UBS FINANCIAL SERVICES INC.
January 3, 2003 - February 19, 2009
OPPENHEIMER & CO. INC.
January 3, 2003 - February 19, 2009
OPPENHEIMER & CO. INC.
December 6, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 24, 1992 - April 18, 1995
CIBC WORLD MARKETS CORP.
August 21, 1992 - January 3, 2003
CIBC WORLD MARKETS CORP.
December 7, 1977 - September 4, 1992
LEHMAN BROTHERS INC.
March 25, 1974 - February 6, 1978
E. F. HUTTON & COMPANY INC
July 3, 1972 - March 18, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 15
Date: 1/14/1984
Foreign Currency Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 6/28/1972
Registered Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
