John K. Siegel

WILLIS JOHNSON WEALTH

HOUSTON, TX 77057

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CRD#: 5096331

Professional summary

John Kenneth Siegel, CFP® is a registered financial advisor currently at WILLIS JOHNSON WEALTH located in Houston, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. John has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

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.

St. Stephen's Endowment Fund; Director; investment related: Yes; 1805 W Alabama St Houston TX 77098 United States; Description of the business: Serve on Board of Directors.; Duties: Oversee the activities of an outside investment manager, direct distributions from the fund account, and oversee IRS compliance.; Start date with business: 2021-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kenneth 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: 2009

Experience

Current

October 22, 2018 - Present

WILLIS JOHNSON WEALTH

Office #1: 5847 San Felipe Suite 1500, Houston, TX 77057

RIA

CRD#: 119759

HOUSTON, TX

Past

January 16, 2016 - June 4, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

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".

WILLIS JOHNSON WEALTH

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON WEALTH, INC. | WILLIS JOHNSON WEALTH | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 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

Texas
(10/22/2018)

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

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 4/4/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 6/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 1/16/2016

General Securities Representative Examination

Current Firm

WILLIS JOHNSON WEALTH

JOHNSON, BENDER & COMPANY | WILLIS JOHNSON WEALTH, INC. | WILLIS JOHNSON WEALTH | WILLIS JOHNSON & ASSOCIATES, INC.

CRD#: 119759 / SEC#: 801-66191

RIA

Registered Investment Advisory firm - (2/9/2006 Approved)

Texas

Registered Investment Advisory firm - (3/2/2006 Terminated)

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Contact information

Main Address

5847 San Felipe Suite 1500, Houston, TX 77057

Mailing Address

Phone number

(713) 439-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WILLIS JOHNSON WEALTH ADV 2A (8/20/2026)

Regulatory assets under management

Total Number of Accounts	2,742
AUM (Assets Under Management)	$ 1,851,891,503

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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John K. Siegel

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Kenneth Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIS JOHNSON WEALTH

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

WILLIS JOHNSON WEALTH

State Registrations and Notice Filings

Exams

Series 63

Passed: 4/4/2016

SIE

Passed: 6/4/2018

Series 7

Passed: 1/16/2016

Current Firm

WILLIS JOHNSON WEALTH

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIS JOHNSON WEALTH

TRUST BUT VERIFY

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