Dominic H. Siwik
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.
Dominic Henry Siwik was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1997. Dominic had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2012 - July 27, 2015
FIRST AMERICAN SECURITIES, INC.
July 23, 2010 - June 18, 2012
OAK STREET SECURITIES, INC.
February 2, 2007 - June 15, 2010
FIRST ALLIED SECURITIES, INC.
November 24, 2004 - June 15, 2005
FERRIS, BAKER WATTS, LLC
July 13, 2000 - November 10, 2004
MORGAN STANLEY DW INC.
May 16, 1997 - July 24, 2000
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST AMERICAN SECURITIES, INC.
CRD#: 35841 / SEC#: 801-61017, 8-47094
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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