Michael R. Siek

DOMINARI SECURITIES LLC

New York, NY 10022

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CRD#: 2072767

Professional summary

Michael Rolf Siek is a registered financial professional currently at DOMINARI SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 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 Michael Rolf Siek'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

March 4, 2024 - Present

DOMINARI SECURITIES LLC

Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022

RIA

CRD#: 18975

New York, NY

Past

December 8, 2014 - April 3, 2024

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

April 29, 1997 - February 2, 2015

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

April 25, 1996 - April 22, 1997

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

January 6, 1993 - May 9, 1996

T.R. WINSTON & COMPANY, LLC

CRD#: 10571

BEDMINSTER, NJ

Past

July 26, 1990 - December 24, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DOMINARI SECURITIES LLC

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA

Registered Investment Advisory firm - SEC (7/31/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

California

Registered Investment Advisory firm - SEC (9/22/2013 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/23/2013 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/27/2013 Terminated)

Delaware

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/26/2013 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/28/2013 Terminated)

Maryland

Registered Investment Advisory firm - SEC (1/22/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/9/2013 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/17/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (11/4/2013 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York 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).

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

Alabama
(4/9/2024)

Alaska
(3/4/2024)

Arizona
(3/4/2024)

Arkansas
(3/4/2024)

California
(3/4/2024)

Colorado
(3/4/2024)

Connecticut
(3/4/2024)

Delaware
(3/4/2024)

District of Columbia
(3/4/2024)

Florida
(3/4/2024)

Georgia
(4/18/2024)

Idaho
(3/11/2024)

Illinois
(3/19/2024)

Indiana
(3/8/2024)

Iowa
(3/4/2024)

Kansas
(3/4/2024)

Kentucky
(3/4/2024)

Louisiana
(4/9/2024)

Maine
(3/4/2024)

Maryland
(3/4/2024)

Massachusetts
(4/12/2024)

Michigan
(3/4/2024)

Minnesota
(4/3/2024)

Missouri
(3/4/2024)

Montana
(3/13/2024)

Nebraska
(4/4/2024)

Nevada
(3/4/2024)

New Jersey
(3/4/2024)

New Mexico
(3/4/2024)

New York
(3/4/2024)

North Dakota
(3/4/2024)

Ohio
(3/4/2024)

Oklahoma
(3/4/2024)

Pennsylvania
(3/4/2024)

Puerto Rico
(4/5/2024)

Rhode Island
(3/4/2024)

South Carolina
(3/4/2024)

South Dakota
(3/4/2024)

Tennessee
(3/4/2024)

Texas
(3/4/2024)

Utah
(3/5/2024)

Vermont
(3/4/2024)

Virgin Islands
(5/15/2024)

Virginia
(3/4/2024)

Washington
(4/3/2024)

West Virginia
(3/4/2024)

Wisconsin
(3/4/2024)

Wyoming
(3/4/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 8/3/1990

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: 7/23/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DOMINARI SECURITIES LLC

CRD#: 18975 / SEC#: 801-78295, 8-37105

RIA

Registered Investment Advisory firm - SEC (7/31/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

California

Registered Investment Advisory firm - SEC (9/22/2013 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/23/2013 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/27/2013 Terminated)

Delaware

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Georgia

Registered Investment Advisory firm - SEC (8/26/2013 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/28/2013 Terminated)

Maryland

Registered Investment Advisory firm - SEC (1/22/2013 Terminated)

Michigan

Registered Investment Advisory firm - SEC (9/9/2013 Terminated)

Nevada

Registered Investment Advisory firm - SEC (9/17/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (11/4/2013 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

New York

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Ohio

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/22/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

725 Fifth Avenue 23rd Fl., New York, NY, 10022

Mailing Address

725 Fifth Avenue 23rd Fl., New York, NY, 10022

Phone number

(212) 393-4500

Established

Delaware since 04/05/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

DOMINARI SECURITIES ADV PART 2 BROCHURE (2025) (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DOMINARI FINANCIAL, INC.	OWNER
CAMPBELL, ROBERT NMN	FINOP	1349154
DEIGNAN, EDWARD PHILIP JR	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	4597976
MERCADO, JAIME	CHIEF COMPLIANCE OFFICER, AMLCO	2863760
NEWMAN, ERIC	EVP/ROP	2509259
WILLIAMS, JOHN MARSHALL	COMPLIANCE OFFICER	2833948
WOOL, KYLE MICHAEL	CEO/ PRESIDENT	4238101

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 41,647,787

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Michael R. Siek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Rolf Siek's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

AUGMENT SECURITIES INC.

LAIDLAW GLOBAL SECURITIES, INC.

T.R. WINSTON & COMPANY, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

DOMINARI SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1990

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1990

Series 24

Date: 8/5/2013

FINRA

Current Firm

DOMINARI SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

DOMINARI SECURITIES LLC

TRUST BUT VERIFY

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