Abaynesh Sieme
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.
Abaynesh Sieme, who also goes by Abaye Sieme, Abby Sieme, Abaynesh Sieme, was a registered financial professional .
Abaynesh is a previously registered financial professional and started their career in finance in 2005. Abaynesh had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2021 - August 22, 2025
VANGUARD MARKETING CORPORATION
June 8, 2020 - July 24, 2020
USAA INVESTMENT SERVICES COMPANY
May 7, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
May 26, 2017 - April 10, 2018
RICHFIELD ORION INTERNATIONAL, INC.
July 17, 2015 - January 15, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 17, 2015 - January 15, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 24, 2013 - May 8, 2014
HORNOR, TOWNSEND & KENT, LLC
August 14, 2013 - May 8, 2014
HORNOR, TOWNSEND & KENT, LLC
August 25, 2010 - October 5, 2011
NEW ENGLAND SECURITIES
July 2, 2010 - October 5, 2011
NEW ENGLAND SECURITIES
October 7, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 2, 2007 - August 12, 2008
MSI FINANCIAL SERVICES, INC.
March 22, 2005 - June 16, 2006
EDWARD JONES
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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
