Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
27 advisors
Number of Clients
167 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$378.5M

Fee Structure

Fees are based on a percentage of assets under management, hourly charges, fixed fees, and commissions. All fees are fully disclosed and negotiable. The firm also offers fee-based financial planning services on an hourly or flat fee basis. Clients have the right to rescind the financial planning agreement without penalty within five business days of entering into such a contract. The firm does not dictate a minimum or maximum fee – all fees are reviewed by the compliance staff to confirm the legitimacy of the fees agreed upon.

Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information

Office location

5793 Widewaters Parkway, Dewitt, NY, 13214

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Regulatory History (5)
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.
Regulatory
November 2012
Final
Customer Dispute
February 2011
Settled
Customer Dispute
February 2011
Settled
Customer Dispute
August 2010
Dismissed
Employment Separation After Allegations
January 1994
Other Business ActivitiesSells Insurance

David sells fixed insurance products as an independent contractor since 1984, dedicating minimal time to this activity. He also refers clients to Hazard & Siegel Advisory Services LLC as a solicitor and IAR, spending a few hours per week on this investment-related business.

Employment History
Current Registrations
Hazard & Siegel Advisory Services LLC
August 2010 - Present · 15 yrs 5 mos
Hazard & Siegel, INC.Broker
June 2003 - Present · 22 yrs 7 mos
Previous Registrations
Newman, Ladd Capital, INC.Broker
February 2006 - October 2006 · 8 mos
Leigh Baldwin & Co., LLC Broker
November 1995 - June 2003 · 7 yrs 7 mos
Cygnet Securities, INC.Broker
April 1994 - September 1995 · 1 yr 5 mos
Cadaret, Grant & Co., INC. Broker
January 1992 - February 1994 · 2 yrs 1 mo
G. R. Phelps & Co., INC.Broker
December 1984 - January 1992 · 7 yrs 1 mo
State Registrations18 states
AZCADCFLILMANCNHNJNVNYOHPARISCUTVAWV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
David Mark Mullen - Financial Advisor | AdvisorDiscover