Thomas M. Walsh

HAZARD & SIEGEL ADVISORY SERVICES LLC

DEWITT, NY 13214

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CRD#: 1874054

Professional summary

Thomas Michael Walsh 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.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SALES OF FIXED ANNUITY AND LIFE INSURANCE COMPANIES. SOLICITOR FOR HAZARD & SIEGEL ADVISORY SERVICES LLC , REFER CLIENT ACCOUNTS TO MONEY MANAGER REGISTERED INVESTMENT ADVISOR 2-20 HRS PER MONTH. WALSH FINANCIAL SERVICES ,TAX & ACCOUNTING SERVICES, OWNER, START DATE 2011 8 HOURS DURING TRADING HOURS, NON INVESTMENT RELATED . BASKETBALL REFEREE , 20 HRS PER MONTH, NON INVESTMENT RELATED MATTHEW BERGER SERVICES CO INC 340 MONTAGE MOUNTAIN RD , MOOSIC PA POSITON-VP , 2-4 HOURS PER MONTH, 1-2 HOURS PER MONTH DURING TRADING HOURS, OVERSITE , FINANCIAL REVIEW, EMPLOYEE RELATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Walsh'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

July 12, 2021 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214

RIA

CRD#: 151462

DEWITT, NY

Current

February 25, 2014 - Present

HAZARD & SIEGEL, INC.

Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214

CRD#: 2048

Dewitt, NY

Past

October 2, 2007 - March 18, 2014

RIDGEWAY & CONGER, INC.

CRD#: 113055

SYRACUSE, NY

Past

August 1, 2003 - October 30, 2007

WALNUT STREET SECURITIES, INC.

CRD#: 15840

SYRACUSE, NY

Past

February 7, 1995 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 9, 1993 - January 26, 1995

PARAMOUNT FINANCIAL CAPITAL MARKETS, INC.

CRD#: 15991

GRANVILLE, OH

Past

November 6, 1989 - June 17, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 6, 1989 - June 17, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 21, 1988 - October 18, 1989

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 21, 1988 - October 18, 1989

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(2/25/2014)

Georgia
(6/8/2017)

New York
(2/25/2014)

IAR

New York
(7/12/2021)

Pennsylvania
(2/25/2014)

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

State Security Law Exam

Series 63

Date: 12/6/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/18/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/10/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas M. Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

RIDGEWAY & CONGER, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

PARAMOUNT FINANCIAL CAPITAL MARKETS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1988

SIE

Date: 10/1/2018

Series 6

Date: 11/18/1988

Series 26

Date: 7/10/2003

FINRA

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

Contact information

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