Simeon A. Siegel

GUGGENHEIM SECURITIES

New York, NY 10017

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CRD#: 5404330

Professional summary

Simeon Avram Siegel, who also goes by Simeon A Siegel, Simeon Siegel, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.

Simeon is registered as a RR (Registered Representative) and started their career in finance in 2007. Simeon has worked at 8 firms and has passed the Series 66, Series 57TO, SIE, Series 86, Series 87, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Simeon A Siegel | Simeon Siegel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simeon Avram 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®

None

Experience

Current

November 4, 2025 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 330 Madison Avenue, New York, NY 10017

CRD#: 40638

New York, NY

Past

November 6, 2019 - August 26, 2025

BMO CAPITAL MARKETS CORP.

CRD#: 16686

New York, NY

Past

November 14, 2016 - October 28, 2019

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

June 24, 2013 - November 14, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

July 27, 2011 - July 16, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 15, 2010 - August 1, 2011

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

WASHINGTON, DC

Past

June 8, 2010 - August 1, 2011

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

WASHINGTON, DC

Past

January 22, 2009 - June 10, 2010

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

October 3, 2007 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/4/2025)

Colorado
(11/4/2025)

Connecticut
(11/4/2025)

Delaware
(11/4/2025)

Florida
(11/4/2025)

Georgia
(11/4/2025)

Illinois
(11/4/2025)

Iowa
(11/4/2025)

Kansas
(11/4/2025)

Maryland
(11/4/2025)

Massachusetts
(11/4/2025)

Minnesota
(11/4/2025)

New Jersey
(11/4/2025)

New York
(11/4/2025)

Ohio
(11/5/2025)

Pennsylvania
(11/4/2025)

Rhode Island
(11/4/2025)

Texas
(11/4/2025)

Washington
(11/4/2025)

Wisconsin
(11/4/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/16/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 2/10/2009

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 1/30/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 3

Date: 11/6/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/4/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/2/2007

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

330 Madison Avenue, New York, NY 10017

Mailing Address

330 Madison Avenue 8th Floor, New York, NY 10017

Phone number

(212) 518-9200

Established

Delaware since 01/29/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LINKS HOLDINGS, LLC	MEMBER
GUGGENHEIM MANAGER, INC.	MANAGING MEMBER
LOWERY WHILLE, TRACY	CHIEF COMPLIANCE OFFICER	2872693
MILLSTEIN, JAMES E.	CO-CHARIMAN	4270577
SCHWARTZ, ALAN DAVID	CO-CHAIRMAN	416184
SCHWARTZ, ANDREW JON	CHIEF FINANCIAL OFFICER	5121914
TSOU, SUSAN	FINOP & PRINCIPAL FINANCIAL OFFICER	6187001
VAN LITH, MARK ALAN	CHEIF EXECUTIVE OFFICER	2263510
WINICK, HOWARD NEIL	PRINCIPAL OPERATIONS OFFICER	1871689

Disclosures

Regulatory Event

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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Firm Stability Insights

Simeon A. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Simeon Avram Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

INSTINET, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

J.P. MORGAN SECURITIES LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

B. RILEY SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2007

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 2/10/2009

Series 87

Date: 1/30/2009

Series 3

Date: 11/6/2008

Series 55

Date: 4/4/2008

Series 7

Date: 10/2/2007

FINRA

Investors' Exchange LLC

Nasdaq Stock Market

Current Firm

GUGGENHEIM SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUGGENHEIM SECURITIES, LLC

TRUST BUT VERIFY

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