Steven Paul Siegel

Employer firm

Steven P. Siegel, Ltd. CRD 172308

Reported services (Item 5G)

Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Steven P. Siegel, Ltd.

Sedona, AZ • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2014-12-16
IL	RA	APPROVED	2014-11-25

AZ RA
APPROVED

Since 2014-12-16
IL RA
APPROVED

Since 2014-11-25

Branch Locations

Sedona, AZ • 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
Steven P. Siegel, Ltd.	Sedona	AZ	09/2014	Present
Dynasty Quest, Inc.	Sedona	AZ	03/2000	Present
Dynasty Quest Of Arizona, P.C.	Sedona	AZ	10/2008	Present

09/2014 → Present

Steven P. Siegel, Ltd.

Sedona, AZ
03/2000 → Present

Dynasty Quest, Inc.

Sedona, AZ
10/2008 → Present

Dynasty Quest Of Arizona, P.C.

Sedona, AZ

Previous Registrations

2003-02-27 → 2016-01-05

Oppenheimer & Co. Inc.

Lake Forest, IL

New York, NY

New York, NY

Other Businesses

I HAVE BEEN THE PRINCIPAL SHAREHOLDER OF DYNASTY QUEST, INC. AND DYNASTY QUEST OF ARIZONA, P.C., ACCOUNTING FIRMS, SINCE 2000 AND 2008, RESPECTIVELY. I AM ALSO A SOLE PROPRIETOR ATTORNEY. THE ACCOUNTING AND LEGAL PRACTICES ARE LOCATED IN SEDONA, AZ. THESE ACTIVITIES ARE NOT INVESTMENT-RELATED AND ACCOUNT FOR APPROXIMATELY 40 HOURS PER WEEK. I AM ALSO LICENSED AS AN INSURANCE AGENT. THIS ACTIVITY IS INVESTMENT-RELATED AND I SPEND APPROXIMATELY LESS THAN 5 HOURS A WEEK IN SUCH CAPACITY.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-02-25
S63	Uniform Securities Agent State Law Examination	1999-01-15

S66 Uniform Combined State Law Examination

2003-02-25
S63 Uniform Securities Agent State Law Examination

1999-01-15

Other Names

Steven P Siegel

View on SEC IAPD