David Mullen
David Mullen is a registered investment advisor at Hazard & Siegel Advisory Services LLC, based in Dewitt, NY, with 40 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Retirement Planning. Their firm serves 167 clients with $380M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
HSAS uses third-party money managers, who charge a fee that is fully disclosed. HSAS may share in this fee. HSAS may also share its advisory fee with a solicitor responsible for acquiring the client. HSAS does not directly state their investment management fees.
Location
5793 Widewaters Parkway, Dewitt, NY, 13214
Get directionsHistory
Regulatory History (5)
Regulatory
November 2012Customer Dispute
February 2011Customer Dispute
February 2011Customer Dispute
August 2010Employment Separation After Allegations
January 1994Other 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
Hazard & Siegel, INC.Broker
Previous Registrations
Newman, Ladd Capital, INC.Broker
Leigh Baldwin & CO., LLCBroker
Cygnet Securities, INC.Broker
Cadaret, Grant & CO., INC.Broker
G. R. Phelps & CO., INC.Broker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.