Robert F. Siggens
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.
Robert F Siggens III, who also goes by Robert F Siggens, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 4 firms and has passed the Series 66, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2003 - December 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
May 16, 2001 - March 21, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 21, 2001 - March 13, 2001
LEGACY FINANCIAL SERVICES, INC.
July 2, 2000 - May 20, 2024
MERRIMACK VALLEY FINANCIAL ADVISORS, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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