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Clark Alan Gronsbell

CRD# 1965689·Registered 1989 - 2022
Previously Registered: Being a previously registered professional could mean that Clark is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Clark Alan Gronsbell, who also goes by Clark A Gronsbell, was a registered financial advisor. Clark was a previously registered financial professional and started their career in finance 1989 - 2022. Clark had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Clark A Gronsbell

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

37 years in the financial services industry

Current & Past Employments

HAZARD & SIEGEL, INC.·CRD# 2048
BD
Syracuse, NY
March 2, 2004 - December 31, 2022
LEIGH BALDWIN & CO., LLC·CRD# 38751
BD
Cazenovia, NY
February 6, 1997 - January 13, 2004
ADVANTAGE CAPITAL CORPORATION·CRD# 146
BD
Atlanta, GA
April 28, 1995 - February 20, 1997
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
May 26, 1994 - May 9, 1995
CADARET, GRANT & CO., INC.·CRD# 10641
BD
Syracuse, NY
January 14, 1993 - December 31, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
Boston, MA
September 22, 1989 - January 26, 1993
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
September 22, 1989 - January 26, 1993

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Current Firm

H&
HAZARD & SIEGEL, INC.

HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: 8-13942
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

FINRA licenses (43 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1989About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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