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