Nancy J. Siegel

CITIWEST CAPITAL

DENVER, CO 80246

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CRD#: 1345834

Professional summary

Nancy Joy Siegel, who also goes by Nancy Joy Stone, is a registered financial advisor currently at CITIWEST CAPITAL CORPORATION located in Denver, Colorado and OSAIC WEALTH, INC. located in Denver, Colorado.

Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Nancy has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy Joy Stone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. STONE ASSOCIATES, LTD DBA CITIWEST CAPITAL CORPORATION POSITION: President NATURE: STATE-REGISTERED INVESTMENT ADVISER FIRM PROVIDING FINANCIAL PLANNING SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 01/01/1999 ADDRESS: 600 South Cherry Street, Suite 1125, Denver, Colorado 80246 DESCRIPTION: Estate Planning, Business Planning, Business Continuity Planning, and Investment Planning and Monitoring for owners of closely held family owned businesses and high net worth clients. 2. JEWISH NATIONAL FUND POSITION: Volunteer NATURE: CHARITY - Member of the JNF Mountain States Board INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 10/01/1999 ADDRESS: 1325 S. Colorado Blvd. Suite 205, Denver, CO 80222 DESCRIPTION: Leadership, Advisor and Mentor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Joy Siegel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 1, 1999 - Present

CITIWEST CAPITAL CORPORATION

Office #1: 600 South Cherry Street Suite 1125, Denver, CO 80246

RIA

CRD#: 113301

DENVER, CO

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 600 S Cherry St Suite 1125, Denver, CO 80246

RIA

CRD#: 23131

DENVER, CO

Past

October 1, 1992 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

DENVER, CO

Past

November 10, 1988 - October 6, 1992

LUMIERE SECURITIES, INC.

CRD#: 13414

DENVER, CO

Past

July 28, 1988 - September 24, 1988

LARIMER CAPITAL CORPORATION

CRD#: 18189

DENVER, CO

Past

March 19, 1986 - August 8, 1988

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/14/2024)

California
(6/14/2024)

IAR

Colorado
(1/1/1999)

Colorado
(6/14/2024)

New York
(6/14/2024)

Vermont
(6/14/2024)

Wisconsin
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/2/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITIWEST CAPITAL CORPORATION

CITI WEST CAPITAL CORPORATION | STONE ASSOCIATES, LTD | CITIWEST CAPITAL CORPORATION

CRD#: 113301 / SEC#:

Colorado

Registered Investment Advisory firm - (1/1/1999 Approved)

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Contact information

Main Address

600 South Cherry Street Suite 1125, Denver, CO 80246

Mailing Address

Phone number

(303) 592-1888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Nancy J. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Joy Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

LUMIERE SECURITIES, INC.

LARIMER CAPITAL CORPORATION

CINCINNATI ANALYSTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1989

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 24

Date: 2/27/1989

FINRA

Current Firm

CITIWEST CAPITAL CORPORATION

Contact information

Documents

Red Flags

Company Information

CITIWEST CAPITAL CORPORATION

TRUST BUT VERIFY

Contact information

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