Paul J. Pezza

HAZARD & SIEGEL

Dewitt, NY 13214

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CRD#: 4039684

Professional summary

Paul Joseph Pezza is a registered financial professional currently at HAZARD & SIEGEL, INC. located in Dewitt, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2001. Paul has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 26 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) - BD

Click below to view Paul Joseph Pezza'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

February 15, 2022 - Present

HAZARD & SIEGEL, INC.

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

CRD#: 2048

Dewitt, NY

Past

February 28, 2013 - January 24, 2020

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

RICHMOND, VA

Past

August 17, 2010 - February 6, 2013

HAZARD & SIEGEL, INC.

CRD#: 2048

FALL RIVER, MA

Past

June 3, 2009 - December 16, 2009

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

WEST WARWICK, RI

Past

May 21, 2009 - December 16, 2009

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

October 27, 2008 - April 22, 2009

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

June 3, 2008 - November 4, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

Past

June 6, 2007 - May 19, 2008

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

MONACA, PA

Past

June 6, 2005 - June 12, 2006

IFMG SECURITIES, INC.

CRD#: 14416

EAST PROVIDENCE, RI

Past

October 20, 2004 - December 15, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PROVIDENCE, RI

Past

October 20, 2004 - December 15, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 5, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

PROVIDENCE, RI

Past

December 11, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 18, 2001 - November 2, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Virginia
(2/16/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HAZARD & SIEGEL, INC.

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH, ALEXANDER SOTIR JR	CHIEF EXECUTIVE OFFICER	1092307
MULLEN, DAVID MARK	PRESIDENT/CHIEF COMPLIANCE OFFICER	1327419

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Paul J. Pezza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Joseph Pezza's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL BROKERAGE CORPORATION

HAZARD & SIEGEL, INC.

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY & CONGER, INC.

INVESTORS CAPITAL CORP.

MSI FINANCIAL SERVICES, INC.

FORTUNE FINANCIAL SERVICES, INC.

IFMG SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2001

Series 26

Date: 1/2/2023

Series 24

Date: 5/6/2011

FINRA

Current Firm

HAZARD & SIEGEL, INC.

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAZARD & SIEGEL, INC.

TRUST BUT VERIFY

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