Steven P. Siegel

STEVEN P. SIEGEL, LTD.

Sedona, AZ

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CRD#: 3150543

Professional summary

Steven Paul Siegel, who also goes by Steven P Siegel, is a registered financial advisor currently at STEVEN P. SIEGEL, LTD. located in Sedona, Arizona.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Steven has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven P 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.

I HAVE BEEN THE PRINCIPAL SHAREHOLDER OF DYNASTY QUEST, INC. AND DYNASTY QUEST OF ARIZONA, P.C., ACCOUNTING FIRMS, SINCE 2000 AND 2008, RESPECTIVELY. I AM ALSO A SOLE PROPRIETOR ATTORNEY. THE ACCOUNTING AND LEGAL PRACTICES ARE LOCATED IN SEDONA, AZ. THESE ACTIVITIES ARE NOT INVESTMENT-RELATED AND ACCOUNT FOR APPROXIMATELY 40 HOURS PER WEEK. I AM ALSO LICENSED AS AN INSURANCE AGENT. THIS ACTIVITY IS INVESTMENT-RELATED AND I SPEND APPROXIMATELY LESS THAN 5 HOURS A WEEK IN SUCH CAPACITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Siegel's 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®

None

Experience

Current

November 25, 2014 - Present

STEVEN P. SIEGEL, LTD.

RIA

CRD#: 172308

Sedona, AZ

Past

February 27, 2003 - January 5, 2016

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LAKE FOREST, IL

Past

January 3, 2003 - January 5, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 23, 1998 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

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
(12/16/2014)

IAR

Illinois
(11/25/2014)

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: 2/25/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1998

General Securities Representative Examination

Current Firm

STEVEN P. SIEGEL, LTD.

DYNASTY QUEST, INC. | STEVEN P. SIEGEL, LTD.

CRD#: 172308 / SEC#:

Arizona

Registered Investment Advisory firm - (12/16/2014 Approved)

Illinois

Registered Investment Advisory firm - (11/25/2014 Approved)

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Contact information

Main Address

Sedona, AZ

Mailing Address

Phone number

(928) 567-0800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Steven P. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEVEN P. SIEGEL, LTD.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2003

Series 63

Date: 1/15/1999

SIE

Date: 1/5/2016

Series 7

Date: 12/21/1998

Current Firm

STEVEN P. SIEGEL, LTD.

Contact information

Documents

Red Flags

Company Information

STEVEN P. SIEGEL, LTD.

TRUST BUT VERIFY

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