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DF

Daniel J. Ficano

HAZARD & SIEGEL
UTICA, NY 13501
Some features on this profile are disabled
CRD#: 1830841
DF

Professional summary

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

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Daniel Joseph Ficano'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

June 23, 2016 - Present

HAZARD & SIEGEL, INC.

Office #1: 185 Genesee St Suite 210, Utica, NY 13501
BD
CRD#: 2048
UTICA, NY
Past

May 18, 1990 - March 11, 1993

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

May 18, 1990 - April 7, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Past

December 6, 1988 - April 24, 1990

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

December 6, 1988 - April 24, 1990

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

June 1, 1988 - August 25, 1988

CADARET, GRANT & CO., INC.

BD
CRD#: 16404

State Registrations and Notice Filings

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

RR
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

RR
New York
(12/8/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/23/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HAZARD & SIEGEL, INC.
HAZARD & SIEGEL, INC.

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOSEPH, ALEXANDER SOTIR JRCHIEF EXECUTIVE OFFICER1092307
MULLEN, DAVID MARKPRESIDENT/CHIEF COMPLIANCE OFFICER1327419

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.

Company Information

HAZARD & SIEGEL, INC.

CRD#: 2048Utica, NY 13501

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