Kenneth Michael Siegel

CRD 1326614 · Charles Schwab & Co., Inc. · Westlake, TX

Broker

Also appears in the source record as: Kenneth Michael Siegal

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (9): Series 57TOSIESeries 3Series 55Series 7Series 4Series 24Series 8Series 63
Registered states (1): Illinois
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (14)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Grayslake, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
J.P. Morgan Securities LLC
Chicago, IL · BC capacity

Oct 1, 2012 → May 9, 2014
Chase Investment Services Corp.
Chicago, IL · BC capacity

Jun 3, 2011 → Oct 1, 2012
Optionvue Securities Corp.
Libertyville, IL · BC capacity

May 22, 2008 → Apr 25, 2011
Thinkorswim, Inc.
Chicago, IL · BC capacity

Jun 7, 2005 → Jan 6, 2007
Terra Nova Trading, L.L.C.
New York, NY · BC capacity

Nov 5, 2002 → Jun 7, 2005
Spike Financial Services, LLC
Chicago, IL · BC capacity

Apr 24, 2002 → Oct 3, 2002
On-Line Investment Services, Inc.
New York, NY · BC capacity

Jan 11, 2000 → Aug 30, 2000
William M. Mercer Securities Corp.
Chicago, IL · BC capacity

Jun 2, 1998 → Dec 22, 1999
Marsh & Mclennan Securities Corporation
New York, NY · BC capacity

Sep 4, 1997 → Jul 6, 1998
Waterhouse Securities, Inc.
Omaha, NE · BC capacity

Mar 20, 1986 → Aug 8, 1997
First Jersey Securities, Inc.
BC capacity

Jan 23, 1985 → Sep 24, 1985

Source & corrections

Where this page comes from

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