John C. Napley
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.
John Carl Napley, who also goes by John C Napley, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 3 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 1996 - June 4, 1997
T. I. INVESTMENTS, INC.
May 4, 1990 - July 25, 1996
T. I. INVESTMENTS, INC.
September 6, 1984 - January 24, 1990
NG SECURITIES, CORP.
September 3, 1971 - December 20, 1985
PATRICK PROGRAMS, 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 00
Date: 4/26/1971
General Securities Principal ExaminationCurrent Firm
T. I. INVESTMENTS, INC.
CRD#: 6844 / SEC#: , 8-18296
Contact information
Documents
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.
