Jerald Siegel
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.
Jerald Siegel, who also goes by Jerry Siegel, was a registered financial professional .
Jerald is a previously registered financial professional and started their career in finance in 1993. Jerald had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2012 - January 3, 2013
PLANMEMBER SECURITIES CORPORATION
July 19, 2012 - January 3, 2013
PLANMEMBER SECURITIES CORPORATION
October 8, 2005 - December 31, 2010
AVANTAX INVESTMENT SERVICES, INC.
March 5, 2004 - September 14, 2005
WINEBRENNER CAPITAL PARTNERS, LLC
August 14, 2001 - December 31, 2003
FIRST MONTAUK SECURITIES CORP.
January 22, 2001 - December 31, 2003
FIRST MONTAUK SECURITIES CORP.
February 24, 2000 - January 24, 2001
PRIME CAPITAL SERVICES, INC.
December 7, 1998 - January 31, 2000
DOMINARI SECURITIES LLC
April 28, 1997 - December 11, 1998
AUERBACH, POLLAK & RICHARDSON INC.
September 13, 1993 - April 29, 1997
GKN SECURITIES CORP.
June 21, 1993 - September 27, 1993
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
