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SJ

Senora E. James

HAZARD & SIEGEL
Dewitt, NY 13214
Some features on this profile are disabled
CRD#: 3151012
SJ

Professional summary

Senora Elissa James, who also goes by Senora Elissa Jenkins, Senora Elissa Respert, Senora Elissa Tate, Senora Tate, Senora Elissa Tatejenkins, Senora James, is a registered financial professional currently at HAZARD & SIEGEL, INC. located in Dewitt, New York.

Senora is registered as a RR (Registered Representative) and started their career in finance in 2001. Senora has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Senora Elissa Jenkins | Senora Elissa Respert | Senora Elissa Tate | Senora Tate | Senora Elissa Tatejenkins | Senora James

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) - BD

Click below to view Senora Elissa James'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

January 23, 2024 - Present

HAZARD & SIEGEL, INC.

Office #1: 5793 Widewaters Parkway, Dewitt, NY 13214
BD
CRD#: 2048
Dewitt, NY
Past

December 10, 2020 - February 28, 2023

PFS INVESTMENTS INC.

BD
CRD#: 10111
AURORA, CO
Past

December 7, 2016 - September 3, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
BATON ROUGE, LA
Past

May 2, 2016 - June 27, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
BATON ROUGE, LA
Past

December 4, 2013 - May 27, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

February 14, 2013 - November 26, 2013

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
ENGLEWOOD, CO
Past

August 27, 2003 - December 17, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
DENVER, CO
Past

October 21, 2002 - July 2, 2003

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 5, 2001 - October 21, 2002

ONE ORCHARD EQUITIES, INC.

BD
CRD#: 42124
GREENWOOD VILLAGE, CO

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.

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/13/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/6/2018
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HAZARD & SIEGEL, INC.
HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: , 8-13942

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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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
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

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

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.

Company Information

HAZARD & SIEGEL, INC.

CRD#: 2048Dewitt, NY 13214

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