Stuart J. Siegel

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CRD#: 835515

Professional summary

Stuart James Siegel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stuart is a previously registered financial advisor and started their career in finance in 1977. Prior to being barred, Stuart had worked at 14 firms, which includes OPPENHEIMER & CO. INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., LEGG MASON WOOD WALKER INCORPORATED, JJC SECURITIES CO. INC., A. G. EDWARDS & SONS INC., JSC SECURITIES INC., GRUNTAL & CO. L.L.C., JII SECURITIES INC., E. F. HUTTON & COMPANY INC, LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..

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 9, 2013 - January 27, 2014

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SARASOTA, FL

Past

March 18, 2013 - January 27, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

SARASOTA, FL

Past

June 1, 2009 - December 17, 2012

MORGAN STANLEY

RIA

CRD#: 149777

VENICE, FL

Past

June 1, 2009 - December 17, 2012

MORGAN STANLEY

CRD#: 149777

VENICE, FL

Past

May 31, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

VENICE, FL

Past

May 27, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

VENICE, FL

Past

June 17, 1994 - June 6, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

VENICE, FL

Past

June 17, 1994 - June 6, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 22, 1991 - June 22, 1994

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 29, 1990 - April 2, 1991

JJC SECURITIES CO., INC.

CRD#: 3144

Past

March 28, 1988 - October 5, 1988

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

August 7, 1986 - May 29, 1990

JSC SECURITIES, INC.

CRD#: 475

Past

October 1, 1985 - August 27, 1986

GRUNTAL & CO., L.L.C.

CRD#: 372

Past

October 4, 1982 - October 1, 1985

JII SECURITIES INC.

CRD#: 406

Past

November 26, 1980 - October 14, 1982

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 4, 1979 - September 8, 1980

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 26, 1978 - September 20, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 1, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

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

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.

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

State Security Law Exam

IAR

Series 65

Date: 6/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/11/1995

Futures Managed Funds Examination

General Industry/Product Exam

PC

Date: 2/19/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/12/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

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

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	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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Firm Stability Insights

Stuart J. Siegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LEGG MASON WOOD WALKER, INCORPORATED

JJC SECURITIES CO., INC.

A. G. EDWARDS & SONS, INC.

JSC SECURITIES, INC.

GRUNTAL & CO., L.L.C.

JII SECURITIES INC.

E. F. HUTTON & COMPANY INC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/1995

Series 63

Date: 5/7/1981

Series 31

Date: 1/11/1995

PC

Date: 2/19/1977

Series 7

Date: 2/19/1977

Series 8

Date: 9/12/1986

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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