# HAZARD & SIEGEL ADVISORY SERVICES LLC

HAZARD & SIEGEL ADVISORY SERVICES LLC of DEWITT, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 151462
- Type: SEC-registered investment adviser
- SEC file number: 801-70690
- Location: 5793 WIDEWATERS PARKWAY, SUITE 200, DEWITT, NY, 13214
- Phone: 315-414-0722
- Latest filing: 2026-03-31
- Regulatory AUM: $449.8M
- Non-discretionary AUM: $449.8M
- Clients: 24
- Accounts: 293

## Business model

- Compensation: % of AUM, Hourly, Fixed, Other
- Clients served: Individuals, High net worth, Pensions, Charities

## Officers, owners & control persons (4)

| 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 | — |


## Disclosures (4)

| 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 | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/151462/brochure
- Similar advisers: https://search.stillhousedata.com/firm/151462/similar
- Related entities: https://search.stillhousedata.com/firm/151462/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/151462

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.