Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Siegel is a financial professional with over 35 years of experience in the securities industry. Douglas is currently registered with Oppenheimer & Co. Inc. in New York and New Jersey and has previously been registered with UBS Financial Services Incorporated of Puerto Rico, UBS Financial Services Inc., UBS Services USA LLC, Salomon Smith Barney Inc., Lehman Brothers Inc. and E. F. Hutton & Company Inc. Douglas holds Series 7, 10, 9, 14, 57TO, 79TO and SIE licenses. Douglas has a strong background in investment banking, securities trading and portfolio management. Douglas's areas of expertise include financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
02/12/2016 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
PR
07/06/2006 - 11/06/2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NJ
10/16/1998 - 11/06/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
08/11/2004 - 03/09/2007
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NY
07/31/1993 - 10/19/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/21/1987 - 05/14/1988
E. F. HUTTON & COMPANY INC
BC
Issued 11/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/1995
Series 14 - Compliance Officer Examination
BC
Issued 10/22/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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