Thomas M. Steffey

HAZARD & SIEGEL ADVISORY SERVICES LLC

PUNXSUTAWNEY, PA 15767

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CRD#: 2267412

Professional summary

Thomas Murray Steffey, ChFC®, CLU®, who also goes by Tom Steffey, is a registered financial advisor currently at HAZARD & SIEGEL ADVISORY SERVICES LLC located in Punxsutawney, Pennsylvania and HAZARD & SIEGEL, INC. located in Punxsutawney, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Steffey

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.

1)OWNER, OFFICE BUILDING LOCATED AT 1055 EAST MAHONING STREET, PUNXSUTAWNEY, PA, RENTAL PROPERTY, NON-INVESTMENT RELATED, RENT OFFICE SPACE TO TWO TENANTS; 2)SALES & SERVICES OF FIXED INSURANCE SALES, AGENT, START 1996, 90% OF TIME DEVOTED TO ACTIVITY, SELL LIFE, ACCIDENT AND HEALTH, FIXED ANNUITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Murray Steffey'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 10, 2021 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

Office #1: 1055 East Mahoning Street, Punxsutawney, PA 15767

RIA

CRD#: 151462

PUNXSUTAWNEY, PA

Current

February 10, 2021 - Present

HAZARD & SIEGEL, INC.

Office #1: 1055 East Mahoning Street, Punxsutawney, PA 15767

CRD#: 2048

PUNXSUTAWNEY, PA

Past

May 30, 2019 - February 3, 2021

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

PUNXSUTAWNEY, PA

Past

February 26, 1997 - February 3, 2021

CADARET, GRANT & CO., INC.

CRD#: 10641

PUNXSUTAWNEY, PA

Past

May 2, 1996 - March 6, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

August 14, 1992 - March 15, 1996

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

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
(7/19/2023)

Maryland
(2/10/2021)

Pennsylvania
(2/10/2021)

IAR

Pennsylvania
(2/10/2021)

South Carolina
(2/10/2021)

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

Series 63

Date: 8/13/1992

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: 12/3/1997

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 5/30/1997

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2000

General Securities 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

Thomas M. Steffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Murray Steffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

WOODBURY FINANCIAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/3/1997

Series 62

Date: 5/30/1997

Series 6

Date: 8/13/1992

Series 24

Date: 2/11/2000

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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