Michael A. Siegel
Professional summary
Michael Alan Siegel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Michael had worked at 14 firms, which includes NATIONAL SECURITIES CORPORATION, CONCORDE ASSET MANAGEMENT LLC, CONCORDE INVESTMENT SERVICES LLC, FORESTERS EQUITY SERVICES INC., IC ADVISORY SERVICES INC., THE INVESTMENT CENTER INC., ONEAMERICA SECURITIES INC., HORNOR TOWNSEND & KENT LLC, MSI FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EQUITABLE ADVISORS LLC, FIRST INSTITUTIONAL SECURITIES L.L.C., A. G. EDWARDS & SONS INC., BROADWAY FINANCIAL INVESTMENT SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2014 - May 13, 2016
NATIONAL SECURITIES CORPORATION
October 17, 2013 - April 22, 2014
CONCORDE ASSET MANAGEMENT, LLC
September 19, 2013 - April 22, 2014
CONCORDE INVESTMENT SERVICES, LLC
August 2, 2013 - September 18, 2013
FORESTERS EQUITY SERVICES, INC.
April 29, 2013 - June 19, 2013
IC ADVISORY SERVICES, INC.
April 26, 2013 - June 19, 2013
THE INVESTMENT CENTER, INC.
February 1, 2012 - April 30, 2013
ONEAMERICA SECURITIES, INC.
January 30, 2012 - April 30, 2013
ONEAMERICA SECURITIES, INC.
February 14, 2011 - November 28, 2011
HORNOR, TOWNSEND & KENT, LLC
December 24, 2010 - November 28, 2011
HORNOR, TOWNSEND & KENT, LLC
February 17, 2009 - March 18, 2010
MSI FINANCIAL SERVICES, INC.
January 27, 2009 - March 18, 2010
MSI FINANCIAL SERVICES, INC.
August 1, 2008 - November 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2008 - November 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2008 - June 17, 2008
EQUITABLE ADVISORS, LLC
May 19, 1995 - May 15, 2002
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 16, 1995 - May 9, 1995
A. G. EDWARDS & SONS, INC.
August 4, 1989 - February 6, 1995
FIRST INSTITUTIONAL SECURITIES, L.L.C.
July 18, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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