Samuel Siebu
Professional summary
Samuel Siebu was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Samuel is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Samuel had worked at 4 firms, which includes BANC ONE SECURITIES CORPORATION, CITICORP INVESTMENT SERVICES, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2002 - March 24, 2004
BANC ONE SECURITIES CORPORATION
August 15, 2001 - March 4, 2002
CITICORP INVESTMENT SERVICES
January 23, 2001 - June 7, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - January 22, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANC ONE SECURITIES CORPORATION
CRD#: 16999 / SEC#: , 8-34881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDING CORPORATION | HOLDING COMPANY | |
| ANDERSON, ELLEN FOWLER | ASSISTANT SECRETARY | 1819869 |
| BERRY, JAMES C. P. | SECRETARY | 4361911 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DAVIS, JEFFREY L | ASSISTANT SECRETARY | |
| DONOVAN, DAVID EDWIN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1081912 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CEO, DIRECTOR | 2354456 |
| KRAMER, JOHN MCDEVITT | CHIEF COMPLIANCE OFFICER | 2350116 |
| MACLELLAN, JOHN STEPHEN | SENIOR VICE PRESIDENT, DIRECTOR | 1050214 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| REED, MICHAEL JOHN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1553478 |
| SAMSON, TIMOTHY HUGH | ASSISTANT SECRETARY | 4603479 |
| SCHARF, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2123345 |
| WARTA, TERESA LYNN | TREASURER & CFO | 2055433 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 9 |
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