HAZARD & SIEGEL ADVISORY SERVICES LLC of DEWITT, NY is an SEC-registered investment adviser (CRD 151462). Regulatory assets under management: $449.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Alexander Sotir Joseph | CEO; MEMBER | — |
| David Mark Mullen | PRESIDENT/CHIEF COMPLIANCE OFFICER; MEMBER | — |
| JOSEPH ALEXANDER SOTIR | CEO; CEO; MEMBER | — |
| MULLEN DAVID MARK | CHIEF COMPLIANCE OFFICER; PRESIDENT/CHIEF COMPLIANCE OFFICER; PRESIDENT/CHIEF COMPLIANCE OFFICER; MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-11-15 | regulatory | PER FINRA RULE 2010 AND NASD RULE 3010 THAT MR MULLEN FAILED TO REASONABLY SUPERVISE HUSBAND/WIFE REGISTERED RERRESENTATIVES AT HIS MEMBER FIRM IN THE SUBMISSION OF VARIABLE ANNUITY APPLICATIONS. IT WAS ALLEGED THAT THE HUSBAND HAD BEEN SIGNING HIS WIFE'S NAME ON APPLICATIONS AND THAT MULLEN FAILED… | Final | $10K |
| — | civil | — | — | — |