Theodore J. 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.
Theodore Jeffrey Siegel, who also goes by Ted Siegel, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 2002. Theodore had worked at 4 firms and has passed the Series 65, Series 63, Series 6, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2014 - September 30, 2014
MORTON WEALTH
November 8, 2013 - February 21, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 23, 2013 - February 21, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 2, 2003 - January 4, 2010
TRILLIUM BROKERAGE SERVICES, LLC
July 23, 2002 - June 4, 2003
HEARTLAND SECURITIES CORP.
Primary Firm SEC Registration
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
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 55
Date: 8/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
MORTON WEALTH
CRD#: 141250 / SEC#: 801-67025
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,622 |
| AUM (Assets Under Management) | $ 2,956,328,474 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 06/21/2023 | ||
| 02/14/2023 | ||
| 11/28/2022 |
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.
