DM
DM

David Mullen

41 Years of Experience
Dewitt, NY
5 DisclosuresBrokerSells Insurance

David Mullen is a registered investment advisor at Hazard & Siegel Advisory Services LLC, based in Dewitt, NY, with 41 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 150 clients with $450M in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27 advisors
Number of Clients
150 clients
Average Client Portfolio
$3.0M average
Assets Under Management
$449.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)

Hazard & Siegel Advisory Services does not manage your investments directly through a standard in-house schedule. Instead, the firm helps connect you with third-party money managers who charge their own fees. Depending on the arrangement, you may pay fees based on a percentage of your portfolio, an hourly rate, or a flat fee. Some representatives may also receive commissions on certain products if handled through an affiliated broker, though commission-based products are generally not recommended for advisory clients.

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Location

5793 Widewaters Parkway, Suite 200, 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
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 · 16 yrs 2 mos
Hazard & Siegel, INC.Broker
June 2003 - Present · 23 yrs 4 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 Registrations19 states
AZCADCFLILINMANCNHNJNVNYOHPARISCUTVAWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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