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 (3)
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.
Financial
April 2016
Final
Employment Separation After Allegations
November 2008
Judgment / Lien
October 2008
Other Business ActivitiesSells Insurance

George is a solicitor for Hazard & Siegel Advisory Services LLC, referring client accounts to money managers, spending about 10-20% of his time. He also sells fixed annuities and life insurance, dedicating about a quarter of his time, and works with Kurt Finkbeiner Retirement Strategies LLC selling fixed annuities, insurance, and disability products, also dedicating about a quarter of his time.

Employment History
Current Registrations
Hazard & Siegel Advisory Services LLC
July 2021 - Present · 4 yrs 6 mos
Hazard & Siegel, INC.Broker
December 2008 - Present · 17 yrs 1 mo
Previous Registrations
Tower Square Securities, INC.Broker
May 1996 - November 2008 · 12 yrs 6 mos
Cadaret, Grant & Co., INC. Broker
October 1989 - May 1996 · 6 yrs 7 mos
Cadaret, Grant & Co., INC.Broker
May 1986 - October 1989 · 3 yrs 5 mos
Travelers Equities Sales, INC.Broker
June 1985 - July 1986 · 1 yr 1 mo
State Registrations3 states
NCNYPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
George Kurt Finkbeiner - Financial Advisor | AdvisorDiscover