Scott M. Siegel
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.
Scott M Siegel, who also goes by Scott Michael Siegel, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1982. Scott had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - June 16, 2020
USAA INVESTMENT SERVICES COMPANY
April 17, 2020 - June 16, 2020
USAA INVESTMENT SERVICES COMPANY
April 17, 2020 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
August 30, 2019 - December 31, 2019
MONEY CONCEPTS CAPITAL CORP
August 19, 2019 - December 31, 2019
MONEY CONCEPTS CAPITAL CORP
January 8, 2008 - August 29, 2012
RIDGEWAY & CONGER, INC.
August 15, 2002 - January 9, 2008
CUMBERLAND BROKERAGE CORPORATION
October 2, 2000 - August 14, 2002
EDI FINANCIAL, INC.
June 4, 1999 - April 17, 2000
CROWN FINANCIAL GROUP, INC.
November 27, 1996 - May 24, 1999
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
December 6, 1994 - December 12, 1996
HALPERT AND COMPANY, INC.
July 26, 1991 - December 7, 1994
HERBERT J. SIMS & CO, INC.
February 24, 1986 - August 11, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 24, 1982 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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 7TO
Date: 8/16/2019
General Securities Representative ExaminationSeries 55
Date: 8/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
