Robert I. Siegel

SOUTHEAST INVESTMENTS, N.C.

Deerfield Beach, FL

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CRD#: 1627931

Professional summary

Robert Ian Siegel is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Deerfield Beach, Florida.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Ian Siegel's CRS (Customer Relationship Summary).

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

September 22, 2014 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

RIA

CRD#: 43035

Deerfield Beach, FL

Past

May 14, 2013 - October 15, 2014

QUESTAR CAPITAL CORPORATION

CRD#: 43100

BOCA RATON, FL

Past

March 3, 2010 - May 3, 2013

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

BOCA RATON, FL

Past

September 23, 2008 - March 3, 2010

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

CORAL SPRINGS, FL

Past

October 25, 2006 - September 23, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

BOCA RATON, FL

Past

April 22, 2002 - September 23, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

BOCA RATON, FL

Past

March 27, 2001 - April 19, 2002

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

January 7, 1994 - April 11, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

July 6, 1993 - January 1, 1994

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

November 20, 1991 - June 23, 1993

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

October 30, 1990 - December 2, 1991

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

May 1, 1990 - November 19, 1990

PARKER JAMESON, INC.

CRD#: 18409

Past

November 22, 1989 - May 15, 1990

MORGAN GLADSTONE & CO. INC.

CRD#: 17062

Past

April 7, 1988 - December 31, 1989

KETTLER & COMPANY

CRD#: 10530

CHICAGO, IL

Past

September 22, 1987 - March 19, 1988

INVESTORS CENTER, INC.

CRD#: 14670

Past

May 6, 1987 - November 24, 1987

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

Past

April 29, 1987 - May 14, 1987

INVESTORS CENTER, INC.

CRD#: 14670

State Registrations and Notice Filings

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

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
(5/5/2015)

California
(9/22/2014)

Connecticut
(1/6/2021)

Florida
(10/9/2014)

Georgia
(6/24/2016)

Hawaii
(10/9/2014)

Illinois
(2/14/2025)

New Hampshire
(2/17/2015)

New Jersey
(9/22/2014)

New York
(9/22/2014)

North Carolina
(7/8/2015)

Ohio
(1/6/2021)

Tennessee
(9/22/2014)

Virginia
(7/12/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1987

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: 4/25/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Robert I. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Ian Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUESTAR CAPITAL CORPORATION

SOUTHEAST INVESTMENTS, N.C., INC.

G.F. INVESTMENT SERVICES, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

FIRST MONTAUK SECURITIES CORP.

MERIT CAPITAL ASSOCIATES, INC.

G.R. STUART & COMPANY, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BILTMORE SECURITIES, INC.

PARKER JAMESON, INC.

MORGAN GLADSTONE & CO. INC.

KETTLER & COMPANY

INVESTORS CENTER, INC.

F.D. ROBERTS SECURITIES, INC.

INVESTORS CENTER, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1995

Series 63

Date: 5/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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