David V. Siegel
Professional summary
David Victor Siegel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 17 firms, which includes MIDTOWN PARTNERS, AXIOM CAPITAL MANAGEMENT INC., CAPITAL GROWTH FINANCIAL LLC, DALTON KENT SECURITIES GROUP INC., JOSEPHTHAL & CO. INC., SSI SECURITIES CORP., GKN SECURITIES CORP., A.S. GOLDMEN & CO. INC., D. H. BLAIR & CO. INC., CIBC WORLD MARKETS CORP., CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED, LEHMAN BROTHERS INC., L. F. ROTHSCHILD & CO. INCORPORATED, THOMSON MCKINNON SECURITIES INC., E. F. HUTTON & COMPANY INC, FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2007 - May 21, 2010
MIDTOWN PARTNERS
May 1, 2003 - February 26, 2007
AXIOM CAPITAL MANAGEMENT, INC.
July 6, 2001 - May 5, 2003
CAPITAL GROWTH FINANCIAL, LLC
April 27, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
October 22, 1999 - May 9, 2001
JOSEPHTHAL & CO., INC.
February 8, 1999 - October 21, 1999
SSI SECURITIES CORP.
June 19, 1992 - October 27, 1999
GKN SECURITIES CORP.
August 29, 1991 - June 22, 1992
A.S. GOLDMEN & CO., INC.
May 28, 1991 - June 19, 1991
D. H. BLAIR & CO., INC.
May 29, 1990 - June 13, 1991
CIBC WORLD MARKETS CORP.
May 22, 1989 - June 4, 1990
CITIGROUP GLOBAL MARKETS INC.
October 20, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 21, 1987 - November 26, 1988
LEHMAN BROTHERS INC.
July 13, 1987 - September 22, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
December 18, 1984 - August 4, 1987
LEHMAN BROTHERS INC.
September 13, 1982 - December 27, 1984
THOMSON MCKINNON SECURITIES INC.
March 15, 1982 - September 22, 1982
LEHMAN BROTHERS INC.
August 22, 1981 - April 1, 1982
E. F. HUTTON & COMPANY INC
May 18, 1981 - August 14, 1981
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/1/1984
Foreign Currency Options ExaminationCurrent Firm
MIDTOWN PARTNERS
CRD#: 104223 / SEC#: , 8-52685
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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