William S. Sovik

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CRD#: 1044468

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Stephen Sovik was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1983. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2021 - July 29, 2021

HAZARD & SIEGEL ADVISORY SERVICES LLC

RIA

CRD#: 151462

Dewitt, NY

Past

November 14, 2003 - April 26, 2021

HAZARD & SIEGEL, INC.

CRD#: 2048

SYRACUSE, NY

Past

September 25, 1995 - November 14, 2003

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

August 31, 1995 - September 22, 1995

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Past

January 23, 1995 - September 28, 1995

CYGNET SECURITIES, INC.

CRD#: 28686

WALDWICK, NJ

Past

January 28, 1983 - January 27, 1995

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 6, 1983 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1983

Investment Company Products/Variable Contracts Representative Examination

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.

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Firm Stability Insights

William S. Sovik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HAZARD & SIEGEL, INC.

LEIGH BALDWIN & CO., LLC

LEIGH BALDWIN & CO., LLC

CYGNET SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1999

Series 63

Date: 5/14/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 6

Date: 1/5/1983

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

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