David H. Siegel
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.
David Herbert Siegel was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1969. David had worked at 8 firms and has passed the Series 63, Series 1, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1985 - June 12, 1987
ROTHSCHILD EQUITY MANAGEMENT GROUP, INC.
October 21, 1982 - June 12, 1987
COMSTOCK INVESTMENTS, INC.
March 9, 1981 - June 9, 1981
HERETH, ORR & JONES, INC.
August 16, 1978 - March 12, 1979
FIRST CITIZENS MUNICIPAL CORPORATION
June 7, 1977 - September 4, 1978
COMSTOCK INVESTMENTS, INC.
March 4, 1976 - July 10, 1977
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
May 8, 1974 - April 28, 1976
DREXEL BURNHAM LAMBERT INCORPORATED
October 30, 1972 - April 27, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 12, 1969 - March 25, 1971
MANNA CAPITAL MANAGEMENT
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
Series 1
Date: 6/11/1969
Registered Representative ExaminationSeries 40
Date: 3/5/1977
Registered Principal ExaminationCurrent Firm
ROTHSCHILD EQUITY MANAGEMENT GROUP, INC.
CRD#: 11033 / SEC#: , 8-27298
Contact information
Documents
Red Flags
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