William J. Kline

HAZARD & SIEGEL

UTICA, NY 13501

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CRD#: 1595199

Professional summary

William Joseph Kline is a registered financial professional currently at HAZARD & SIEGEL, INC. located in Utica, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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) - BD

Click below to view William Joseph Kline'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

October 8, 2008 - Present

HAZARD & SIEGEL, INC.

Office #1: 185 Genesee St Suite 210, Utica, NY 13501

CRD#: 2048

UTICA, NY

Past

September 11, 2007 - September 16, 2008

BISHOP, ROSEN & CO., INC.

CRD#: 1248

UTICA, NY

Past

October 11, 2002 - September 6, 2007

CADARET, GRANT & CO., INC.

CRD#: 10641

WHITESBORO, NY

Past

November 4, 1999 - October 30, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 12, 1987 - November 3, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

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
(10/8/2008)

New York
(10/8/2008)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1987

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: 8/5/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/9/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/20/1995

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: , 8-13942

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

5793 Widewaters Parkway, Dewitt, NY 13214

Mailing Address

Po Box 157, Syracuse, NY 13214

Phone number

(315) 414-0722

Established

New York since 06/15/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH, ALEXANDER SOTIR JR	CHIEF EXECUTIVE OFFICER	1092307
MULLEN, DAVID MARK	PRESIDENT/CHIEF COMPLIANCE OFFICER	1327419

Red Flags

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William J. Kline

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Joseph Kline's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISHOP, ROSEN & CO., INC.

CADARET, GRANT & CO., INC.

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1997

Series 63

Date: 1/9/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1997

Series 6

Date: 1/9/1987

Series 26

Date: 10/20/1995

FINRA

Current Firm

HAZARD & SIEGEL, INC.

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAZARD & SIEGEL, INC.

TRUST BUT VERIFY

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