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HS

Howard S. Siegel

Some features on this profile are disabled
CRD#: 2979538
HS

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.

Howard S Siegel, who also goes by Howard Scott Siegel, was a registered financial professional .

Howard is a previously registered financial professional and started their career in finance in 1998. Howard had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Howard Scott Siegel

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

February 22, 2011 - September 24, 2013

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
JUPITER, FL
Past

June 22, 2009 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
EAU CLAIRE, WI
Past

December 8, 2005 - June 23, 2009

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
JUPITER, FL
Past

December 7, 2005 - June 23, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
JUPITER, FL
Past

July 19, 2005 - December 16, 2005

NEW ENGLAND SECURITIES

RIA
CRD#: 615
NORTH PALM BEACH, FL
Past

January 11, 2005 - December 16, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 18, 2001 - May 19, 2004

HIGH MARK SECURITIES, INC.

BD
CRD#: 42467
LAKELAND, FL
Past

April 13, 1999 - December 31, 2000

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

January 6, 1998 - March 12, 1999

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

BD
CRD#: 7315
PALM BEACH GARDENS, FL

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
IAR
Series 65
Date: 5/31/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/13/2002
General Securities Principal Examination

Current Firm

AB
ALLIED BEACON PARTNERS, INC.
ALLIED BEACON PARTNERS, INC. | WATERFORD INVESTOR SERVICES, INC. | ALLIED BEACON PARTNERS, INC. ADVISORY

CRD#: 46227 / SEC#: , 8-51357

BD
Terminated by SEC on 11/25/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/03/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BEACON AQUISITION PARTNERS, INCSHAREHOLDER
MATHER, ROBERT PHILIPPRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY1764918

Disclosures

Regulatory Event6
Arbitration2

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

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

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