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Detailed Report
DAVID J SIEGEL
CRD#: 5679167
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 250 S AUSTRALIAN AVE
STE 1601
WEST PALM BCH, FL 33401
Registration History
201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2013 - Present (11 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 7/10/2024
B
Minnesota 7/10/2014
B
Arizona 12/5/2023
B
Missouri 7/12/2022
B
California 11/29/2016
B
Nevada 2/24/2025
B
Colorado 11/22/2013
B
New Hampshire 3/27/2023
B
Connecticut 12/19/2017
B
New Jersey 3/14/2022
B
District of Columbia 7/11/2024
B
New York 7/24/2015
B
Florida 11/30/2010
B
North Carolina 2/23/2016
IA
Florida 10/17/2013
B
Ohio 7/29/2021
B
Georgia 12/15/2016
B
Oregon 2/17/2021
B
Idaho 5/5/2023
B
Pennsylvania 8/28/2020
B
Illinois 3/16/2018
B
Texas 12/20/2016
B
Louisiana 10/29/2013
B
Utah 3/20/2019
B
Maryland 6/11/2020
B
Vermont 10/12/2022
B
Massachusetts 10/8/2015
B
Virginia 2/23/2016
B
Michigan 11/13/2024
B
Washington 2/22/2018

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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
250 S AUSTRALIAN AVE STE 1601, WEST PALM BCH, FL 33401
Registered with this firm since 10/17/2013
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
250 S AUSTRALIAN AVE STE 1601, WEST PALM BCH, FL 33401
Registered with this firm since 5/6/2010
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.