Stephen M. Polizzi

HAZARD & SIEGEL ADVISORY SERVICES LLC

VICTOR, NY 14564

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CRD#: 1037994

Professional summary

Stephen Michael Polizzi, who also goes by Steve Polizzi, is a registered financial advisor currently at HAZARD & SIEGEL ADVISORY SERVICES LLC located in Victor, New York and HAZARD & SIEGEL, INC. located in Victor, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stephen has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Polizzi

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.

STEPHEN M. POLIZZI INSURANCE AGENCY,INVESTMENT RELATED, 61 SCHOOL ST SUITE B-201 VICTOR NY 14564 COMMENCED 06/1995, DBA, 100% OWNERSHIP, 100% ACTIVE OWNER/AGENT/ +9 HOURS PER WEEK. INDEPENDENT INSURANCE SALES, (LIFE, DISABILITY, LONG-TERM CARE INSURANCE AND ANNUITY SALES) CARMAX AUTO SUPERSTORE 3600 WEST HENRIETTA RD ROCHESTER NY 14623 SELL PREOWNED VEHICLES PART TIME. 24 HRS A WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Polizzi'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

February 24, 2020 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

Office #1: 61 School St Suite B-210, Victor, NY 14564

RIA

CRD#: 151462

VICTOR, NY

Current

January 16, 2020 - Present

HAZARD & SIEGEL, INC.

Office #1: 61 School St Suite B-201, Victor, NY 14564

CRD#: 2048

Victor, NY

Past

January 8, 2018 - January 6, 2020

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

VICTOR, NY

Past

January 4, 2018 - January 6, 2020

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Williamsville, NY

Past

January 4, 2010 - December 31, 2017

HAZARD & SIEGEL, INC.

CRD#: 2048

ROCHESTER, NY

Past

October 3, 2006 - December 31, 2009

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

January 11, 2005 - October 3, 2006

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, NY

Past

March 18, 1998 - January 7, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

September 27, 1995 - May 21, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

September 29, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 29, 1988 - July 26, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 5, 1986 - June 2, 1988

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Past

August 4, 1986 - May 24, 1988

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

October 23, 1985 - March 5, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

June 9, 1982 - September 13, 1985

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

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
(2/24/2020)

New York
(1/16/2020)

IAR

New York
(5/14/2021)

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

IAR

Series 65

Date: 12/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1986

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: 3/17/1982

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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Advisor Monitoring

Firm Stability Insights

Stephen M. Polizzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Polizzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

BLACKRIDGE ASSET MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

HAZARD & SIEGEL, INC.

LIFEMARK SECURITIES CORP.

WALL STREET FINANCIAL GROUP, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

USLIFE EQUITY SALES CORP.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

PRUCO SECURITIES, LLC.

RELIASTAR FINANCIAL MARKETING CORP.

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2016

Series 63

Date: 12/30/1986

SIE

Date: 10/1/2018

Series 6

Date: 3/17/1982

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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