Mark D. Seigal
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.
Mark David Seigal was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1982. Mark had worked at 12 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2005 - January 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2002 - January 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 1991 - December 31, 2000
EMPIRE STATE FINANCIAL, INC.
February 26, 1990 - October 23, 1990
H. STARR FINANCIAL CORP.
February 9, 1989 - January 20, 1990
MORGAN STANLEY DW INC.
April 28, 1988 - September 26, 1988
WELLSHIRE SECURITIES, INC.
October 14, 1987 - October 14, 1988
MAGNA SECURITIES, INC.
December 16, 1985 - April 3, 1987
LOS ANGELES SECURITIES
October 3, 1984 - December 24, 1985
R. F. LAFFERTY & CO., INC.
April 5, 1984 - September 14, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
March 2, 1983 - August 23, 1984
MOSELEY SECURITIES CORPORATION
January 31, 1983 - February 17, 1983
BLINDER, ROBINSON & CO., INC.
May 24, 1982 - December 20, 1982
BLINDER, ROBINSON & CO., INC.
March 15, 1982 - August 17, 1982
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
