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MS

Michael P. Siegel

Some features on this profile are disabled
CRD#: 2871429
MS

Professional summary

Michael Paul Siegel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Michael had worked at 1 firm, which includes ABSOLUTE RETURN ADVISORS LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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 31, 1997 - August 14, 2001

ABSOLUTE RETURN ADVISORS, LTD.

BD
CRD#: 42938
MANCHESTER CENTER, VT

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
RR
IAR
Series 66
Date: 12/10/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/27/1997
Financial and Operations Principal Examination

Current Firm

AR
ABSOLUTE RETURN ADVISORS, LTD.
ABSOLUTE RETURN ADVISORS, LTD | ABSOLUTE RETURN ADVISORS, LTD.

CRD#: 42938 / SEC#: , 8-50104

BD
Terminated by SEC on 03/04/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Vermont since 09/01/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IHASZ, ADAM OLIVERPRESIDENT/COMPLIANCE OFFICER2314749
IHASZ, ASHLEY C.OWNER
IHASZ, CATHLEEN M.OWNER/SECRETARY
IHASZ, NICOLE V.OWNER
IHASZ, MARY JANE REIMEROWNER
IHASZ, OLIVER DIRKDIRECTOR1367185

Disclosures

Regulatory Event4

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

ABSOLUTE RETURN ADVISORS, LTD.

CRD#: 42938

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