Allen R. 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.
Allen Robert Siegel was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1985. Allen had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2007 - October 20, 2023
CASTLEOAK SECURITIES, LP
June 17, 1998 - October 5, 2007
BLAYLOCK & COMPANY, INC.
July 9, 1996 - February 17, 1998
J.P. MORGAN SECURITIES INC.
June 28, 1995 - July 26, 1996
CANTOR FITZGERALD & CO.
June 10, 1993 - March 28, 1995
CREDIT SUISSE SECURITIES (USA) LLC
February 12, 1993 - August 19, 1993
UBS FINANCIAL SERVICES INC.
May 22, 1985 - February 10, 1993
CREDIT SUISSE SECURITIES (USA) LLC
February 21, 1985 - May 20, 1985
CITICORP SECURITIES, INC.
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
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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