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

Constantia, NY

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

David sells fixed annuities and life insurance, dedicating about 10% of his time to this activity. He also solicits clients for Hazard & Siegel Advisory Services LLC, spending a few hours per week on this.

Employment History
Current Registrations
Hazard & Siegel Advisory Services LLC
July 2021 - Present · 4 yrs 6 mos
Hazard & Siegel, INC.
May 2009 - Present · 16 yrs 8 mos
Hazard & Siegel, INC.Broker
May 2009 - Present · 16 yrs 8 mos
Previous Registrations
American Portfolios Financial Services, INC.Broker
June 2003 - May 2009 · 5 yrs 11 mos
Nathan & Lewis Securities, INC.Broker
September 1991 - June 2003 · 11 yrs 9 mos
Cpc Securities CorporationBroker
October 1986 - September 1991 · 4 yrs 11 mos
State Registrations4 states
FLNCNJNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.