Individual Firm
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MICHAEL B. NAPOLI
MCHAEL B NAPOLI, MIKE B NAPOLI
CRD#: 3202724
IA
B
MARINER INDEPENDENTCRD#: 283824 2880 Lakeside Drive
Suite 100
Santa Clara, CA 95054
Suite 100
Santa Clara, CA 95054
LPL FINANCIAL LLCCRD#: 6413 501 VINEYARD BLVD
MORGAN HILL, CA 95037
MORGAN HILL, CA 95037
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10/7/2015
Customer Dispute
Denied
State Registrations
B
Arizona 2/21/2025
B
Maryland 2/24/2025
B
California 11/30/2015
B
Nevada 11/30/2015
IA
California 3/28/2018
B
Texas 11/15/2016
B
Georgia 11/30/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/28/2018
B
Registered with this firm since 11/30/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/01/2015 - 03/28/2018 | LOS GATOS, CA | |
IA | 01/03/2011 - 12/02/2015 | MORGAN HILL, CA | |
B | 01/03/2011 - 12/02/2015 | MORGAN HILL, CA | |
IA | 03/27/2006 - 01/03/2011 | SUNNYVALE, CA | |
B | 03/27/2006 - 01/03/2011 | SUNNYVALE, CA | |
IA | 08/01/2000 - 04/07/2006 | SAN JOSE, CA | |
B | 10/14/1999 - 04/07/2006 | SAN JOSE, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.