David Mark Mullen
Professional Summary
David Mark Mullen 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. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 22,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
HAZARD & SIEGEL ADVISORY SERVICES LLC
Contact Information
Main Address
5793 Widewaters Parkway Suite 200, Dewitt, NY 13214Mailing Address
P.o. Box 157, Dewitt, NY 13214-0157Phone Number
(315) 414-0722# of Employees
24SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
293AUM (Assets Under Management)
$449,795,352Similar Advisors
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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.
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Primary Firm SEC Registration
HAZARD & SIEGEL ADVISORY SERVICES LLC
State Registrations and Notice Filings
(6/2/2010)
(3/3/2016)
(4/20/2011)
(3/5/2018)
(2/7/2012)
(4/29/2026)
(11/12/2004)
(7/21/2010)
(7/23/2010)
(11/8/2004)
(6/27/2003)
(11/30/2021)
(2/19/2010)
(7/19/2023)
(11/8/2004)
(6/27/2003)
(1/16/2024)
(7/2/2010)
(5/25/2010)
(10/15/2024)
(11/10/2010)
(11/12/2010)
(8/24/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Sep 1985About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1984About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1998SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Mark Mullen's CRS (Customer Relationship Summary).
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