Arthur P. Siegel
Professional summary
Arthur Phillip Siegel, who also goes by Art Phillip Siegel, Art Siegel, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Lake Geneva, Wisconsin.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Arthur has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Phillip Siegel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur Phillip Siegel's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2010 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 612 S. Wells Street, Lake Geneva, WI 53147January 2, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 612 S. Wells Street, Lake Geneva, WI 53147January 2, 2008 - January 2, 2008
CENTAURUS FINANCIAL, INC.
May 6, 1999 - January 2, 2008
NATIONAL PLANNING CORPORATION
May 6, 1999 - January 2, 2008
NATIONAL PLANNING CORPORATION
February 12, 1997 - May 17, 1999
VOYA FINANCIAL ADVISORS, INC.
January 7, 1992 - February 12, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 12, 1989 - January 10, 1992
COORDINATED CAPITAL SECURITIES, INC.
November 7, 1988 - September 21, 1989
CADARET, GRANT & CO., INC.
September 22, 1988 - November 21, 1988
FOCUS SECURITIES, INC.
October 27, 1986 - October 7, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 19, 1985 - November 17, 1986
MUTUAL SERVICE CORPORATION
February 22, 1985 - March 2, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 30, 1984 - December 12, 1985
BALLANTYNE & CO.,LTD.
January 16, 1984 - November 23, 1984
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2008)
(4/24/2020)
(4/24/2020)
(1/2/2008)
(9/10/2012)
(1/4/2023)
(1/2/2008)
(6/23/2010)
Exams
FINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
