Luke J. Vergo
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.
Luke J Vergo, who also goes by Luke John Vergo, was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 2012. Luke had worked at 3 firms and has passed the Series 66, Series 63, SIE 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
November 13, 2014 - July 23, 2015
NAPLES MONEY MANAGEMENT LLC
November 20, 2012 - October 16, 2014
MORGAN STANLEY
November 19, 2012 - October 16, 2014
MORGAN STANLEY
June 19, 2012 - August 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NAPLES MONEY MANAGEMENT LLC
CRD#: 153499 / SEC#: 801-71295
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
NAPLES MONEY MANAGEMENT LLC
CRD#: 153499 / SEC#: 801-71295
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 498 |
| AUM (Assets Under Management) | $ 157,797,662 |
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.
