Brian Scott Siegel

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-01-30
IL	RA	APPROVED	2025-01-23

TX RA
APPROVED_RES

Since 2025-01-30
IL RA
APPROVED

Since 2025-01-23

Branch Locations

Chicago, IL • United States

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wayne Hummer Investments L.L.C.	Chicago	IL	11/1992	01/2025
Lpl Financial Llc	Chicago	IL	01/2025	Present

11/1992 → 01/2025

Wayne Hummer Investments L.L.C.

Chicago, IL
01/2025 → Present

Lpl Financial Llc

Chicago, IL

Previous Registrations

2008-01-16 → 2025-01-23

Wintrust Investments Llc

Chicago, IL

Chicago, IL

Chicago, IL
2001-11-16 → 2006-12-31

Great Lakes Advisors, Llc

Chicago, IL

Other Businesses

1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 11/09/1992- 180 Hours Per Month- 143 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-17
S63	Uniform Securities Agent State Law Examination	1993-02-19

S65 Uniform Investment Adviser Law Examination

1999-11-17
S63 Uniform Securities Agent State Law Examination

1993-02-19

View on SEC IAPD