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 (2)
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.
Employment Separation After Allegations
November 2010
Customer Dispute
July 2002
Settled
Other Business ActivitiesSells Insurance

Mark is an independent agent selling long-term care and fixed life insurance, spending about a quarter of his time on this. He also sells life and disability income insurance, dedicating a few hours per week, and refers clients to a registered investment advisor, spending minimal time on this.

Employment History
Current Registrations
Hazard & Siegel Advisory Services LLC
July 2021 - Present · 4 yrs 6 mos
Hazard & Siegel, INC.
February 2014 - Present · 11 yrs 11 mos
Hazard & Siegel, INC.Broker
February 2014 - Present · 11 yrs 11 mos
Previous Registrations
Allstate Financial Services, LLCBroker
June 2011 - February 2014 · 2 yrs 8 mos
Hazard & Siegel, INC.Broker
February 2011 - May 2011 · 3 mos
LPL Financial Corporation Broker
February 2008 - December 2010 · 2 yrs 10 mos
Linsco/private Ledger CORP. Broker
June 2007 - December 2007 · 6 mos
Chase Investment Services CORP.Broker
March 2007 - May 2007 · 2 mos
Cco Investment Services CORP. Broker
December 2005 - March 2007 · 1 yr 3 mos
Charter One Securities, INC.Broker
December 2004 - December 2005 · 1 yr
Nylife Securities INC.Broker
February 2002 - November 2004 · 2 yrs 9 mos
Hornor, Townsend & Kent, INC. Broker
November 2000 - March 2002 · 1 yr 4 mos
Metlife Securities INC.Broker
June 1999 - October 2000 · 1 yr 4 mos
Metropolitan Life Insurance CompanyBroker
June 1999 - October 2000 · 1 yr 4 mos
1717 Capital Management CompanyBroker
November 1995 - April 1999 · 3 yrs 5 mos
Equico Securities, INC. Broker
April 1995 - November 1995 · 7 mos
The Equitable Life Assurance Society of the United StatesBroker
April 1995 - November 1995 · 7 mos
State Registrations5 states
COFLNYSCTN
AdvisorBrokerBoth
Exams
No exam information available for this advisor.