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Detailed Report
ARTHUR PHILLIP SIEGEL
ART PHILLIP SIEGEL, ART SIEGEL
CRD#: 1223371
IA
Investment Adviser
B
Broker
CENTAURUS FINANCIAL, INC.CRD#: 30833 612 S. WELLS STREET
LAKE GENEVA, WI 53147
Registration History
1985199019952000200520102015202020252 FIRMS1999 - 2008 (8 years)IACENTAURUS FINANCIAL, INC. (CRD# 30833)2010 - Present (14 years)BCENTAURUS FINANCIAL, INC. (CRD# 30833)2008 - Present (17 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1997 - 1999 (2 years)BPROEQUITIES, INC. (CRD# 15708)1992 - 1997 (5 years)BJOHN HANCOCK MUTUAL LIFE INSUR... (CRD# 5181)1985 - 1994 (9 years)BCOORDINATED CAPITAL SECURITIES... (CRD# 14762)1989 - 1992 (2 years)BBNL SECURITIES INC. (CRD# 10641)1988 - 1989 (<1 year)BFOCUS SECURITIES, INC. (CRD# 15023)1988 - 1988 (<1 year)BCIGNA SECURITIES, INC. (CRD# 145)1986 - 1987 (1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)1985 - 1986 (<1 year)BBALLANTYNE & CO.,LTD. (CRD# 15248)1984 - 1985 (1 year)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1984 - 1984 (<1 year)IACENTAURUS FINANCIAL, INC. (CRD# 30833)2008 - 2008 (<1 year)
Disclosure(s)
View By:
10/4/2010
Judgment / Lien
4/22/2010
Judgment / Lien
8/7/2007
Judgment / Lien
8/1/2007
Judgment / Lien
License(s)

State Registrations

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Florida 1/2/2008
IA
Illinois 9/10/2012
B
Idaho 4/24/2020
B
Tennessee 1/4/2023
IA
Idaho 4/24/2020
B
Wisconsin 1/2/2008
B
Illinois 1/2/2008
IA
Wisconsin 6/23/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CENTAURUS FINANCIAL, INC. (CRD#:30833)
612 S. WELLS STREET, LAKE GENEVA, WI 53147
Registered with this firm since 6/23/2010
B
CENTAURUS FINANCIAL, INC. (CRD#:30833)
612 S. WELLS STREET, LAKE GENEVA, WI 53147
Registered with this firm since 1/2/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2008 - 01/02/2008 CENTAURUS FINANCIAL, INC. (CRD#:30833) KENOSHA, WI
IA
 05/06/1999 - 01/02/2008 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) KENOSHA, WI
B
 05/06/1999 - 01/02/2008 NATIONAL PLANNING CORPORATION (CRD#:29604) KENOSHA, WI
B
 02/12/1997 - 05/17/1999 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
B
 01/07/1992 - 02/12/1997 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
B
 02/22/1985 - 03/02/1994 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
B
 09/12/1989 - 01/10/1992 COORDINATED CAPITAL SECURITIES, INC. (CRD#:14762) FORT ATKINSON, WI
B
 11/07/1988 - 09/21/1989 BNL SECURITIES INC. (CRD#:10641) SYRACUSE, NY
B
 09/22/1988 - 11/21/1988 FOCUS SECURITIES, INC. (CRD#:15023)
B
 10/27/1986 - 10/07/1987 CIGNA SECURITIES, INC. (CRD#:145)
B
 12/19/1985 - 11/17/1986 MUTUAL SERVICE CORPORATION (CRD#:4806)
B
 11/30/1984 - 12/12/1985 BALLANTYNE & CO.,LTD. (CRD#:15248)
FINRA expelled the firm on 03/02/1987
B
 01/16/1984 - 11/23/1984 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.