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Detailed Report
Andrew D. Siegel
CRD#: 6741350
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 SARASOTA, FL
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
Florida 11/16/2020
B
Maryland 2/14/2018
IA
Florida 5/18/2021
B
Minnesota 9/6/2023

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
LPL FINANCIAL LLC (CRD#:6413)
SARASOTA, FL
Registered with this firm since 2/14/2018
B
LPL FINANCIAL LLC (CRD#:6413)
SARASOTA, FL
Registered with this firm since 2/14/2018
Previous Registration(s)
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IA
 05/30/2017 - 02/14/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) latham, NY
B
 03/07/2017 - 02/14/2018 INVEST FINANCIAL CORPORATION (CRD#:12984) latham, NY
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.