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Arthur Siegel

Centaurus Financial, INC.
42 Years of Experience
Lake Geneva, WI
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Arthur Siegel is a registered investment advisor at Centaurus Financial, INC., based in Lake Geneva, WI, with 42 years of industry experience. Arthur operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.

Centaurus Financial, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
429 advisors
Number of Clients
38,049 clients
Average Client Portfolio
$193K average
Assets Under Management
$7.3B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)

Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.

Maximum advisory fees:

  • Alpha, Beta, ABJ, Omega, Delta: 2.25%
  • AA & VL: 1.50%
  • Adviser-Directed: 1.35%
  • FlexUMA: 2.25%

Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.

View Full SEC Brochure

Location

612 S. Wells Street, Lake Geneva, WI, 53147

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
October 2010
Judgment / Lien
April 2010
Judgment / Lien
August 2007
Judgment / Lien
August 2007
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Arthur owns Siegel Financial and is a licensed insurance agent selling fixed life insurance, annuities, health insurance, and long-term care. This activity takes about 10-20% of Arthur's time.

Employment History
Current Registrations
Centaurus Financial, INC.
June 2010 - Present · 15 yrs 11 mos
Centaurus Financial, INC.Broker
January 2008 - Present · 18 yrs 4 mos
Previous Registrations
Centaurus Financial, INC.
January 2008 - January 2008 · 0 mos
National Planning CorporationBroker
May 1999 - January 2008 · 8 yrs 8 mos
National Planning Corporation ("npc of America" in Fl & Ny)
May 1999 - January 2008 · 8 yrs 8 mos
Washington Square Securities, INC.Broker
February 1997 - May 1999 · 2 yrs 3 mos
Proequities, INC.Broker
January 1992 - February 1997 · 5 yrs 1 mo
Coordinated Capital Securities, INC.Broker
September 1989 - January 1992 · 2 yrs 4 mos
Bnl Securities INC.Broker
November 1988 - September 1989 · 10 mos
Focus Securities, INC.Broker
September 1988 - November 1988 · 2 mos
Cigna Securities, INC.Broker
October 1986 - October 1987 · 1 yr
Mutual Service CorporationBroker
December 1985 - November 1986 · 11 mos
John Hancock Mutual Life Insurance CompanyBroker
February 1985 - March 1994 · 9 yrs 1 mo
Ballantyne & Co.,ltd.Broker
November 1984 - December 1985 · 1 yr 1 mo
John Hancock Distributors, INC.Broker
January 1984 - November 1984 · 10 mos
State Registrations4 states
IDILTNWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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