AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PR

Patricia M. Rugari

HAZARD & SIEGEL
UTICA, NY 13501
Some features on this profile are disabled
CRD#: 4836500
PR

Professional summary

Patricia Marie Rugari, who also goes by Patricia Marie Roberts, Patricia Roberts, Patti Rugari, Tricia Rugari, is a registered financial professional currently at HAZARD & SIEGEL, INC. located in Utica, New York.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 2004. Patricia has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia Marie Roberts | Patricia Roberts | Patti Rugari | Tricia Rugari

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 Patricia Marie Rugari'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

November 17, 2008 - Present

HAZARD & SIEGEL, INC.

Office #1: 185 Genesee St Suite 210, Utica, NY 13501
BD
CRD#: 2048
UTICA, NY
Past

January 18, 2007 - October 11, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
UTICA, NY
Past

November 16, 2004 - October 11, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
UTICA, NY

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(7/20/2018)
RR
Florida
(2/16/2018)
RR
Maryland
(5/19/2024)
RR
New York
(11/17/2008)
RR
Ohio
(5/19/2024)
RR
Vermont
(1/9/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/17/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/18/2005
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 7
Date: 11/15/2004
General Securities Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 2048Utica, NY 13501

TRUST BUT VERIFY

Monitor Patricia Rugari

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CH
Cory HenschelAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Manitowoc, WI
Richard James Ryan
Richard RyanAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
PR
ST. LOUIS, MO
PT
Philippe TannAdvisorCheck Check Mark
MORGAN STANLEY & CO. LLC
PR
NEW YORK, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.