Alan T. Kessler

STEVEN P. SIEGEL, LTD.

Chicago, IL

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CRD#: 4830940

Professional summary

Alan Todd Kessler is a registered financial advisor currently at STEVEN P. SIEGEL, LTD. located in Chicago, Illinois.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Alan has worked at 2 firms and has passed the Series 66, SIE 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.

I AM THE CHIEF FINANCIAL OFFICER OF BATORY FOODS, INC. THE BUSINESS IS NOT INVESTMENT RELATED. I HAVE BEEN THERE SINCE JULY OF 1991 AND CONTINUE TO WORK ABOUT 50 HOURS A WEEK. BATORY FOODS, INC. IS A WHOLSALE FOOD DISTRIBUTOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Todd Kessler's 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®

None

Experience

Current

November 25, 2014 - Present

STEVEN P. SIEGEL, LTD.

RIA

CRD#: 172308

Chicago, IL

Past

April 22, 2005 - January 5, 2016

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LAKE FOREST, IL

Past

January 3, 2005 - January 5, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

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
(12/23/2014)

IAR

Illinois
(11/25/2014)

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 66

Date: 1/26/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2004

General Securities Representative Examination

Current Firm

STEVEN P. SIEGEL, LTD.

DYNASTY QUEST, INC. | STEVEN P. SIEGEL, LTD.

CRD#: 172308 / SEC#:

Arizona

Registered Investment Advisory firm - (12/16/2014 Approved)

Illinois

Registered Investment Advisory firm - (11/25/2014 Approved)

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Contact information

Main Address

Sedona, AZ

Mailing Address

Phone number

(928) 567-0800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Alan T. Kessler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Todd Kessler's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEVEN P. SIEGEL, LTD.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2005

SIE

Date: 1/5/2016

Series 7

Date: 11/9/2004

Current Firm

STEVEN P. SIEGEL, LTD.

Contact information

Documents

Red Flags

Company Information

STEVEN P. SIEGEL, LTD.

TRUST BUT VERIFY

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