Randy T. Siegel

ALETHEIAN WEALTH ADVISORS LLC

Prescott, AZ

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CRD#: 4320650

Professional summary

Randy T Siegel, CFP®, CIMA® is a registered financial advisor currently at ALETHEIAN WEALTH ADVISORS LLC located in Prescott, Arizona.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Randy has worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

RT Siegel Consulting: Investment related: No; 1777 Forest Creek Ln, Prescott, AZ 86303. United States; Litigation Consultant; Principal; 2023-07-12; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 4; In matters related to investment management by Fiduciaries.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy T Siegel's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2007

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 9, 2019 - Present

ALETHEIAN WEALTH ADVISORS LLC

RIA

CRD#: 304623

Prescott, AZ

Past

October 22, 2018 - May 10, 2019

CORNERSTONE ADVISORS INC

RIA

CRD#: 110908

BELLEVUE, WA

Past

October 5, 2009 - May 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BELLEVUE, WA

Past

October 5, 2009 - May 19, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BELLEVUE, WA

Past

March 6, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

BELLEVUE, WA

Past

March 5, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

BELLEVUE, WA

Past

September 25, 2001 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BELLEVUE, WA

Past

January 26, 2001 - April 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALETHEIAN WEALTH ADVISORS LLC

CRD#: 304623 / SEC#: 801-121173

RIA

Registered Investment Advisory firm - (5/7/2021 Approved)

Texas

Registered Investment Advisory firm - (5/20/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/22/2025)

IAR

Washington
(8/9/2019)

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 65

Date: 2/9/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/17/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/25/2001

General Securities Representative Examination

Current Firm

ALETHEIAN WEALTH ADVISORS LLC

CRD#: 304623 / SEC#: 801-121173

RIA

Registered Investment Advisory firm - (5/7/2021 Approved)

Texas

Registered Investment Advisory firm - (5/20/2021 Terminated)

Washington

Registered Investment Advisory firm - (6/22/2021 Terminated)

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Contact information

Main Address

777 108th Ave Ne Suite 2250, Bellevue, WA 98004

Mailing Address

Phone number

(425) 458-2840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- ALETHEIAN WEALTH ADVISORS LLC (1/10/2025)

Regulatory assets under management

Total Number of Accounts	519
AUM (Assets Under Management)	$ 338,290,305

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/22/2024	Cover Page	Report
05/24/2023	Cover Page	Report

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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Firm Stability Insights

Randy T. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy T Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE ADVISORS INC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ALETHEIAN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2001

Series 63

Date: 2/2/2001

Series 31

Date: 8/17/2005

Series 7

Date: 1/25/2001

Current Firm

ALETHEIAN WEALTH ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALETHEIAN WEALTH ADVISORS LLC

TRUST BUT VERIFY

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