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Timothy C Sieh
TIMOTHY CHARLES SIEH
CRD#: 1911915
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 130 W SUPERIOR ST
DULUTH, MN 55802
DULUTH, MN 55802
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Disclosures
36
Years of Experience
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State Registrations
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Alabama 8/14/2019
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Nebraska 2/23/2022
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Alaska 6/3/2022
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New Hampshire 7/11/2003
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Arizona 4/20/1995
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New York 4/20/2023
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California 3/10/2011
B
North Carolina 10/16/2009
B
Florida 8/21/2019
B
North Dakota 6/22/2018
B
Hawaii 2/19/2021
B
Oklahoma 11/1/2024
B
Illinois 3/14/2022
B
Puerto Rico 10/1/2021
B
Indiana 12/2/2024
B
South Dakota 8/4/2015
B
Iowa 12/3/2003
B
Texas 11/20/1997
B
Kansas 2/15/2024
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Texas 11/20/1997
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Michigan 2/12/2019
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Utah 10/15/2024
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Minnesota 10/5/1989
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Virginia 3/28/1995
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Minnesota 11/1/2013
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Washington 1/13/1998
B
Mississippi 9/20/2018
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Wisconsin 10/5/1989
B
Missouri 6/17/2022
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Wyoming 1/2/2021
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Montana 1/4/2024
SRO Registrations
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Registered with this firm since 11/20/1997
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Registered with this firm since 10/5/1989
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/19/1989 - 10/11/1989 | SCHAUMBURG, IL | |
B | 02/27/1989 - 08/30/1989 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.