Harvey Siegel
Professional summary
Harvey Siegel is a registered financial advisor currently at APELLA WEALTH located in Lenox, Massachusetts.
Harvey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Harvey has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 41, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Harvey Siegel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 20, 2017 - Present
APELLA WEALTH
Office #1: 5 Walker Street, Lenox, MA 01240March 20, 2017 - February 6, 2019
SYMMETRY PARTNERS
September 28, 2004 - March 2, 2017
ARC INVESTMENT PLANNING & MANAGEMENT INC
October 3, 1999 - March 2, 2017
WS SECURITIES INC
March 4, 1988 - November 3, 1999
WS SECURITIES INCORPORATED
April 15, 1982 - June 5, 1987
ATALANTA SOSNOFF MANAGEMENT, LLC
Primary Firm SEC Registration
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/21/2017)
(3/20/2017)
(6/3/2025)
Exams
Series 41
Date: 3/20/1982
NYSE Allied Member ExaminationCurrent Firm
APELLA WEALTH
CRD#: 171106 / SEC#: 801-79650
Contact information
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,172 |
| AUM (Assets Under Management) | $ 7,953,076,688 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 03/29/2024 | ||
| 04/30/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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