David M. 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, Series 6, Series 9, Series 14, Series 10, Series 53, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Mark Mullen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2010 - Present
HAZARD & SIEGEL ADVISORY SERVICES LLC
Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214June 27, 2003 - Present
HAZARD & SIEGEL, INC.
Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214February 28, 2006 - October 17, 2006
NEWMAN, LADD CAPITAL, INC.
November 10, 1995 - June 13, 2003
LEIGH BALDWIN & CO., LLC
April 12, 1994 - September 28, 1995
CYGNET SECURITIES, INC.
January 14, 1992 - February 2, 1994
CADARET, GRANT & CO., INC.
December 24, 1984 - January 23, 1992
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
HAZARD & SIEGEL ADVISORY SERVICES LLC
CRD#: 151462 / SEC#: 801-70690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/2/2010)
(3/3/2016)
(4/20/2011)
(3/5/2018)
(2/7/2012)
(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)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 11/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
HAZARD & SIEGEL ADVISORY SERVICES LLC
CRD#: 151462 / SEC#: 801-70690
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 294 |
| AUM (Assets Under Management) | $ 378,476,990 |
Red Flags
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Company Information
HAZARD & SIEGEL ADVISORY SERVICES LLC
CRD#: 151462Dewitt, NY 13214TRUST BUT VERIFY
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