Edmond J. Theobald

HAZARD & SIEGEL ADVISORY SERVICES LLC

DEWITT, NY 13214

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CRD#: 1018183

Professional summary

Edmond James Theobald is a registered financial advisor currently at HAZARD & SIEGEL ADVISORY SERVICES LLC located in Dewitt, New York and HAZARD & SIEGEL, INC. located in Dewitt, New York.

Edmond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Edmond has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SALES & SERVICES OF FIXED ANNITIES & LIFE PRODUCTS, 5793 WIDEWATERS PARKWAY FIXED LIFE, INS. SOLICITOR FOR HAZARD & SIEGEL ADVISORY SERVICES LLC , REFER CLIENT ACCOUNTS TO MONEY MANAGER REGISTERED INVESTMENT ADVISORS 2-20 HRS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edmond James Theobald's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 12, 2021 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214

RIA

CRD#: 151462

DEWITT, NY

Current

July 22, 2003 - Present

HAZARD & SIEGEL, INC.

Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214

CRD#: 2048

Dewitt, NY

Past

May 24, 2001 - July 30, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

March 10, 2000 - May 18, 2001

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

June 24, 1987 - March 25, 1988

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

August 6, 1986 - July 23, 1987

G. R. PHELPS & CO., INC.

CRD#: 173

Past

May 13, 1985 - July 28, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

September 27, 1982 - May 17, 1985

G. R. PHELPS & CO., INC.

CRD#: 173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HAZARD & SIEGEL ADVISORY SERVICES LLC

CRD#: 151462 / SEC#: 801-70690

RIA

Registered Investment Advisory firm - (10/26/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(10/24/2021)

Maryland
(3/21/2006)

New York
(7/22/2003)

IAR

New York
(7/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/9/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HAZARD & SIEGEL ADVISORY SERVICES LLC

CRD#: 151462 / SEC#: 801-70690

RIA

Registered Investment Advisory firm - (10/26/2009 Approved)

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Contact information

Main Address

5793 Widewaters Parkway, Dewitt, NY 13214

Mailing Address

P.o. Box 157, Dewitt, NY 13214-0157

Phone number

(315) 414-0722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 378,476,990

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Edmond J. Theobald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edmond James Theobald's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

NATHAN & LEWIS SECURITIES, INC.

CADARET, GRANT & CO., INC.

PAMCO SECURITIES AND INSURANCE SERVICES

G. R. PHELPS & CO., INC.

FSC SECURITIES CORPORATION

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2000

SIE

Date: 10/1/2018

Series 6

Date: 3/9/2000

FINRA

Current Firm

HAZARD & SIEGEL ADVISORY SERVICES LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAZARD & SIEGEL ADVISORY SERVICES LLC

TRUST BUT VERIFY

Contact information

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