Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL LOUIS NAPLES
CRD#: 1053502
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2012 - Present (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1982 - 2012 (29 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 2012 (22 years)
License(s)

State Registrations

B
Alabama 8/17/2023
B
Montana 9/6/2022
B
Arizona 1/13/2012
B
Nevada 1/13/2012
B
California 1/13/2012
B
New Hampshire 12/2/2020
IA
California 1/13/2012
B
New York 1/13/2012
B
Colorado 9/1/2022
B
North Carolina 1/13/2012
B
Connecticut 1/7/2015
B
Ohio 9/2/2022
B
Florida 1/13/2012
B
Oklahoma 3/12/2025
B
Georgia 9/2/2022
B
Oregon 1/13/2012
B
Hawaii 9/1/2022
B
South Dakota 9/2/2022
B
Idaho 1/13/2012
B
Tennessee 3/25/2019
B
Illinois 9/2/2022
IA
Texas 1/13/2012
B
Indiana 9/1/2022
B
Texas 11/29/2016
B
Massachusetts 1/13/2012
B
Virginia 8/10/2022
B
Michigan 9/2/2022
B
Washington 1/13/2012
B
Minnesota 9/1/2022

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Pasadena, CA
Registered with this firm since 1/13/2012
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Pasadena, CA
Registered with this firm since 1/13/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/14/1989 - 01/17/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 06/28/1982 - 01/17/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.