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DS

Douglas B. Sieg

Some features on this profile are disabled
CRD#: 2261001
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Bloom Sieg, who also goes by Doug Sieg, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Sieg

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.
Hackensack Meridian Health is a network of healthcare providers in New Jersey. Mr. Sieg will serve as a board member. This is not an investment-related activity, the role is not compensated. The activity is considered to be charitable in nature as there is no compensation. Mr. Sieg will spend 1-2 hours monthly serving on the board, none of this time will be during securities trading hours. There is not current relationship between Hackensack Meridien and Lord Abbett however it is possible that Hackensack may, in future, issue securities and loans in Lord Abbett's investable universe. The relationship started in September, 2023.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2002 - August 19, 2024

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

September 29, 1994 - August 19, 2024

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

July 27, 1992 - August 17, 1994

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

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".
LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/27/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/30/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/24/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/28/2001
General Securities Principal Examination

Current Firm

LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
Phone number
(201) 827-2000
Established
Firm type
Fiscal year end
# of Employees
789

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/20/2024)

Regulatory assets under management

Total Number of Accounts30,191
AUM (Assets Under Management)$ 238,757,080,041

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.

Company Information

LORD, ABBETT & CO. LLC

CRD#: 110391

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