David A. Seigerman
Professional summary
David Aaron Seigerman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 9 firms, which includes JANNEY MONTGOMERY SCOTT LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., OSAIC FS INC., PERSHING LLC, LASALLE ST SECURITIES L.L.C., SAPERSTON FINANCIAL INC., ROBERT THOMAS SECURITIES INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2013 - March 15, 2016
JANNEY MONTGOMERY SCOTT LLC
July 8, 2013 - March 15, 2016
JANNEY MONTGOMERY SCOTT LLC
June 1, 2009 - August 6, 2013
MORGAN STANLEY
June 1, 2009 - August 6, 2013
MORGAN STANLEY
July 12, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 18, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 16, 1999 - August 22, 2006
MORGAN STANLEY DW INC.
December 14, 1999 - August 22, 2006
MORGAN STANLEY DW INC.
January 1, 1999 - June 15, 1999
OSAIC FS, INC.
July 30, 1998 - November 16, 1998
PERSHING LLC
October 2, 1997 - August 3, 1998
LASALLE ST SECURITIES, L.L.C.
June 27, 1996 - October 16, 1997
SAPERSTON FINANCIAL INC.
November 16, 1995 - June 19, 1996
SAPERSTON FINANCIAL INC.
July 25, 1995 - November 27, 1995
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
