Norbert A. Siegfried
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.
Norbert Allen Siegfried, who also goes by Norb Siegfried, Norbert A Siegfried, was a registered financial professional .
Norbert is a previously registered financial professional and started their career in finance in 1971. Norbert had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2010 - July 6, 2015
VOYA FINANCIAL ADVISORS, INC.
February 8, 2002 - July 2, 2009
VOYA FINANCIAL ADVISORS, INC.
February 19, 1998 - January 14, 2002
VOYA FINANCIAL ADVISORS, INC.
February 18, 1992 - June 11, 1992
VOYA FINANCIAL ADVISORS, INC.
January 27, 1986 - February 27, 1998
WS GRIFFITH SECURITIES, INC.
August 15, 1984 - January 31, 1986
SENTRA SECURITIES CORPORATION
March 8, 1983 - February 27, 1998
WS GRIFFITH SECURITIES, INC.
August 9, 1971 - February 9, 1973
NORTH AMERICAN SECURITIES CORPORATION
June 25, 1971 - August 29, 1984
HOME LIFE INSURANCE COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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: 6/19/1971
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
