Richard A. Siegel

ARQ WEALTH ADVISORS

SCOTTSDALE, AZ 85260

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CRD#: 2857109

Professional summary

Richard Alan Siegel, CFP® is a registered financial advisor currently at ARQ WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Richard is a 0/5% owner of Restaurant Investment Partners, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Siegel'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

February 20, 2025 - Present

ARQ WEALTH ADVISORS, LLC

Office #1: 8605 E. Raintree Dr Ste. 240, Scottsdale, AZ 85260

RIA

CRD#: 147351

SCOTTSDALE, AZ

Past

July 21, 2008 - February 12, 2025

ARQ WEALTH ADVISORS, LLC

RIA

CRD#: 147351

Scottsdale, AZ

Past

October 2, 2000 - July 17, 2008

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

April 18, 1997 - July 21, 2008

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(2/20/2025)

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

IAR

Series 66

Date: 9/14/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2004

General Securities Principal Examination

Current Firm

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

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Contact information

Main Address

8605 E. Raintree Dr Ste. 240, Scottsdale, AZ 85260

Mailing Address

Phone number

(480) 214-9572

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,663
AUM (Assets Under Management)	$ 701,933,068

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

Richard A. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARQ WEALTH ADVISORS, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ARQ WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2000

Series 63

Date: 5/8/1997

Series 7

Date: 8/31/2000

Series 6

Date: 4/17/1997

Series 24

Date: 7/26/2004

Current Firm

ARQ WEALTH ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARQ WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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