James Sieck

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CRD#: 5924340

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.

James Sieck was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2011. James had worked at 1 firm .

Question & Answer

Are you a "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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 8, 2011 - March 15, 2013

SYNERGY CAPITAL MANAGEMENT, LLC

CRD#: 143751

CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

SYNERGY CAPITAL MANAGEMENT, LLC

CRD#: 143751 / SEC#: , 8-67601

Terminated by SEC on 05/16/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 03/17/2007

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SYNERGY CAPITAL HOLDINGS, LLC	MEMBER
KARP, JOHN JOSEPH	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	5626284

Disclosures

Regulatory Event

Red Flags

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