Alan D. Seidel

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CRD#: 872696

Professional summary

Alan David Seidel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alan is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Alan had worked at 10 firms, which includes WILMINGTON CAPITAL SECURITIES LLC, SEIDEL & CO. LLC, KIRLIN SECURITIES INC., PITTSBURG INSTITUTIONAL INC., GOLDIS FINANCIAL GROUP INC., EMANUEL AND COMPANY, SFI INVESTMENTS INC., FIRST INTERREGIONAL EQUITY CORP., MCLAUGHLIN PIVEN VOGEL SECURITIES INC., L. F. ROTHSCHILD & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Allen David Seidel

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

June 22, 2018 - March 22, 2019

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839

GARDEN CITY, NY

Past

November 6, 1997 - January 3, 2017

SEIDEL & CO., LLC

CRD#: 42821

NEW YORK, N. Y., NY

Past

January 30, 1996 - September 17, 1997

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

April 10, 1995 - January 3, 1996

PITTSBURG INSTITUTIONAL INC.

CRD#: 36754

GREAT NECK, NY

Past

December 23, 1993 - January 23, 1996

GOLDIS FINANCIAL GROUP, INC.

CRD#: 16444

GARDEN CITY, NY

Past

September 11, 1992 - January 1, 1994

EMANUEL AND COMPANY

CRD#: 7309

NEW YORK, NY

Past

May 13, 1988 - September 25, 1992

SFI INVESTMENTS, INC.

CRD#: 21663

NEW YORK, NY

Past

April 23, 1987 - December 12, 1987

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

Past

August 24, 1982 - April 9, 1987

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

Past

August 3, 1982 - August 30, 1982

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

October 24, 1979 - July 8, 1982

EMANUEL AND COMPANY

CRD#: 7309

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".

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 8/18/1983

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: 10/20/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/1987

General Securities Principal Examination

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA

Registered Investment Advisory firm - SEC (7/27/2015 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - SEC (4/6/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

666 Old Country Road Suite 505, Garden City, NY 11530

Mailing Address

666 Old Country Road Suite 505, Garden City, NY 11530

Phone number

(516) 750-6200

Established

New York since 11/18/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WILMINGTON CAPITAL GROUP, INC.	PARENT COMPANY
COLUMBO, JOSEPH DONALD	CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER	823524
DORUSHKIN, RONALD BRETT	CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER	2245185
LEE, DENNIS PETER	CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL	6008539
MIKES, JOHN	PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR	2458544
VITTOR, GREG TODD	FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	1864219

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 258,250,437

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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Advisor Monitoring

Firm Stability Insights

Alan D. Seidel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEIDEL & CO., LLC

KIRLIN SECURITIES INC.

PITTSBURG INSTITUTIONAL INC.

GOLDIS FINANCIAL GROUP, INC.

EMANUEL AND COMPANY

SFI INVESTMENTS, INC.

FIRST INTERREGIONAL EQUITY CORP.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

L. F. ROTHSCHILD & CO. INCORPORATED

EMANUEL AND COMPANY

Primary Firm SEC Registration

WILMINGTON CAPITAL SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1983

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1979

Series 24

Date: 11/13/1987

Current Firm

WILMINGTON CAPITAL SECURITIES, LLC

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILMINGTON CAPITAL SECURITIES, LLC

TRUST BUT VERIFY

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