Keith A. Zanders

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CRD#: 2582027

Professional summary

Being a previously registered professional could mean that this person 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.

Keith Alan Zanders was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2008. Keith had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

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

Past

March 9, 2017 - June 30, 2017

HAZARD & SIEGEL ADVISORY SERVICES LLC

RIA

CRD#: 151462

DEWITT, NY

Past

September 11, 2014 - June 30, 2017

HAZARD & SIEGEL, INC.

CRD#: 2048

DEWITT, NY

Past

July 7, 2010 - July 30, 2014

PINNACLE INVESTMENTS, LLC

CRD#: 142910

EAST SYRACUSE, NY

Past

August 5, 2009 - June 25, 2010

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

CAZENOVIA, NY

Past

July 31, 2009 - June 25, 2010

CADARET, GRANT & CO., INC.

CRD#: 10641

CAZENOVIA, NY

Past

January 30, 2008 - May 28, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SYRACUSE, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/15/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/19/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/16/2012

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/2010

General Securities Principal Examination

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

Keith A. Zanders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HAZARD & SIEGEL, INC.

PINNACLE INVESTMENTS, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2008

SIE

Date: 6/30/2017

Series 7

Date: 1/29/2008

Series 4

Date: 7/19/2013

Series 27

Date: 1/16/2012

Series 24

Date: 10/31/2010

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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