David Mark Mullen

Hazard & Siegel Advisory Services LLC

40 Years of Experience

5 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingEstate Planning

Hazard & Siegel Advisory Services LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

27 advisors

Number of Clients

167 clients

Average Client Portfolio

$2.3M average

Assets Under Management

$378.5M

Fee Structure

Location

5793 Widewaters Parkway, Dewitt, NY, 13214

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History

Regulatory History (5)

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.

Regulatory

November 2012

Final

Customer Dispute

February 2011

Settled

Customer Dispute

February 2011

Settled

Customer Dispute

August 2010

Dismissed

Employment Separation After Allegations

January 1994

View Full SEC Report How to Read Disclosures

Other 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

August 2010 - Present · 15 yrs 6 mos

Hazard & Siegel, INC.Broker

June 2003 - Present · 22 yrs 8 mos

Previous Registrations

Newman, Ladd Capital, INC.Broker

February 2006 - October 2006 · 8 mos

Leigh Baldwin & CO., LLCBroker

November 1995 - June 2003 · 7 yrs 7 mos

Cygnet Securities, INC.Broker

April 1994 - September 1995 · 1 yr 5 mos

Cadaret, Grant & CO., INC.Broker

January 1992 - February 1994 · 2 yrs 1 mo

G. R. Phelps & CO., INC.Broker

December 1984 - January 1992 · 7 yrs 1 mo

State Registrations18 states

AZCADCFLILMANCNHNJNVNYOHPARISCUTVAWV

AdvisorBrokerBoth

Exams

No exam information available for this advisor.