Arthur Edward Siegel

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2011-01-03

IL RA
APPROVED

Since 2011-01-03

Branch Locations

Buffalo Grove, IL • 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
Arthur E. Siegel Financial Services Ltd	Glenview	IL	10/2000	Present
Cetera Financial Specialists Llc	Schaumburg	IL	01/2011	Present
Cetera Investment Advisers Llc	Schaumburg	IL	01/2011	Present

10/2000 → Present

Arthur E. Siegel Financial Services Ltd

Glenview, IL
01/2011 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
01/2011 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2010-03-17 → 2010-12-31

Integrity Alliance, Llc.

Lincolnshire, IL

Lincolnshire, IL

Urbandale, IA

Other Businesses

1) ARTHUR E SIEGEL FINANCIAL SERVICES, LTD; INV REL; GLENVIEW, IL; GROUP AND INDIVIDUAL HEALTH INSURANCE; SALES; START DATE 1/2000; LESS THAN 10 HRS/MTH: 2) RECEIVE RENEWALS/TRAILS FOR ANNUITY, LIFE INSURANCE AND HEALTH INSURANCE PRODUCTS:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-03-17
S63	Uniform Securities Agent State Law Examination	1991-08-19

S65 Uniform Investment Adviser Law Examination

2000-03-17
S63 Uniform Securities Agent State Law Examination

1991-08-19

View on SEC IAPD