Arthur E. Siegel

CETERA INVESTMENT ADVISERS LLC

BUFFALO GROVE, IL

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CRD#: 817314

Professional summary

Arthur Edward Siegel is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Buffalo Grove, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Buffalo Grove, Illinois.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Arthur has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) ARTHUR E SIEGEL FINANCIAL SERVICES, LTD; INV REL; GLENVIEW, IL; GROUP AND INDIVIDUAL HEALTH INSURANCE; SALES; START DATE 1/2000; LESS THAN 10 HRS/MTH: 2) RECEIVE RENEWALS/TRAILS FOR ANNUITY, LIFE INSURANCE AND HEALTH INSURANCE PRODUCTS:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Edward 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

January 3, 2011 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BUFFALO GROVE, IL

Current

January 3, 2011 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

BUFFALO GROVE, IL

Past

March 17, 2010 - December 31, 2010

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

LINCOLNSHIRE, IL

Past

March 16, 2010 - December 31, 2010

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

LINCOLNSHIRE, IL

Past

June 26, 2001 - November 5, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CHICAGO, IL

Past

December 13, 1984 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 13, 1984 - June 20, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 19, 1976 - September 15, 1977

OSAIC FS, INC.

CRD#: 3870

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Illinois
(1/3/2011)

IAR

Illinois
(1/3/2011)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/17/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/12/1984

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 1/14/1976

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Arthur E. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Edward Siegel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

ALLSTATE FINANCIAL SERVICES, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

OSAIC FS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2000

Series 63

Date: 8/19/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/24/2000

Series 6

Date: 12/12/1984

Series 1

Date: 1/14/1976

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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