Clyde Goldberg

HAZARD & SIEGEL ADVISORY SERVICES LLC

Dewitt, NY 13214

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CRD#: 223898

Professional summary

Clyde Goldberg 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.

Clyde is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Clyde has worked at 18 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 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.

SALE OF LIFE AND FIXED PRODUCTS, 2 HOURS WEEK, 15 HOURS A MONTH, START DATE 1/1/1990. SOLICITOR FOR HAZARD & SIEGEL ADVISORY LLC REFER CLIENT ACCOUNTS TO MONEY MANAGER REGISTERED INVESTMENT ADVISORS 2-20HRS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clyde Goldberg'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 14, 2017 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

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

RIA

CRD#: 151462

Dewitt, NY

Current

March 16, 2016 - Present

HAZARD & SIEGEL, INC.

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

CRD#: 2048

Dewitt, NY

Past

January 12, 2016 - April 14, 2016

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOODSTOCK, NY

Past

January 9, 2015 - December 31, 2015

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOOSTSTOCK, NY

Past

May 30, 2008 - April 14, 2016

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

May 13, 2008 - December 31, 2014

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

SYRACUSE, NY

Past

April 8, 2008 - May 13, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SYRACUSE, NY

Past

August 15, 2007 - May 13, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

Past

September 17, 2004 - August 15, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

SYRACUSE, NY

Past

July 15, 2003 - September 8, 2004

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

May 14, 2003 - July 14, 2003

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

March 8, 2002 - June 10, 2003

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

SYRACUSE, NY

Past

March 8, 2002 - June 10, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

June 4, 1999 - March 11, 2002

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

April 23, 1998 - June 22, 1999

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

September 1, 1987 - April 22, 1998

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

May 19, 1987 - September 30, 1987

SYMETRA SECURITIES, INC.

CRD#: 739

Past

May 28, 1982 - June 16, 1987

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

March 19, 1982 - April 22, 1982

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 29, 1979 - February 11, 1980

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

May 3, 1976 - March 27, 1979

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

Past

January 28, 1974 - August 1, 1976

ILG SECURITIES CORPORATION

CRD#: 422

Past

October 13, 1972 - June 18, 1979

G. R. PHELPS & CO., INC.

CRD#: 173

Past

November 13, 1969 - January 9, 1972

PIEDMONT CAPITAL CORPORATION

CRD#: 711

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

IAR

Florida
(9/27/2021)

New York
(3/16/2016)

IAR

New York
(5/14/2021)

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

IAR

Series 66

Date: 2/27/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/16/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/11/1997

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.

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Advisor Monitoring

Firm Stability Insights

Clyde Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clyde Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY & CONGER, INC.

RIDGEWAY CONGER ADVISORY SERVICES

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

FSC SECURITIES CORPORATION

TOWER SQUARE SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

FSC SECURITIES CORPORATION

MONY SECURITIES CORPORATION

SIGNATOR FINANCIAL SERVICES, INC.

SYMETRA SECURITIES, INC.

SIGNATOR INVESTORS, INC.

LEHMAN BROTHERS INC.

PRINCIPAL SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

ILG SECURITIES CORPORATION

G. R. PHELPS & CO., INC.

PIEDMONT CAPITAL CORPORATION

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2008

Series 63

Date: 8/7/1987

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/16/1969

Series 26

Date: 11/11/1997

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

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