Scott J. 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.
Scott Jason Siegel, who also goes by Scott Jason Seigel, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 1999 - December 17, 1999
W.A. CAPITAL MARKETS
January 13, 1998 - October 23, 1998
LCP CAPITAL CORP.
September 18, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
May 29, 1997 - June 20, 1997
ROYCE INVESTMENT GROUP, INC.
March 20, 1997 - May 23, 1997
JOSEPH DILLON & COMPANY INC.
August 10, 1995 - March 11, 1997
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - July 20, 1995
FAIRCHILD FINANCIAL GROUP, INC.
June 28, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
December 15, 1993 - July 1, 1994
J. GREGORY & COMPANY, INC.
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
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
