Michael P. Ward

HAZARD & SIEGEL ADVISORY SERVICES LLC

CAZENOVIA, NY

Some features on this profile are disabled

CRD#: 5050123

Professional summary

Michael Patrick Ward is a registered financial advisor currently at HAZARD & SIEGEL ADVISORY SERVICES LLC located in Cazenovia, New York and HAZARD & SIEGEL, INC. located in Dewitt, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 11 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SOLICITOR FOR HAZARD & SIEGEL ADVISORY SERVICES LLC, REFER CLIENT ACCOUNTS TO MONEY MANAGER , REGISTERED INVESTMENT ADVISOR 2-2- HRS PER MONTH. SALES AND SERVICE OF FIXED INSURANCE PRODUCTS ON AN INDEPENDENT CONTRACTOR BASIS. USING WARD WEALTH MANAGEMENT GROUP LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Ward'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

June 7, 2018 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

RIA

CRD#: 151462

CAZENOVIA, NY

Current

June 16, 2018 - Present

HAZARD & SIEGEL, INC.

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

CRD#: 2048

Dewitt, NY

Past

July 21, 2017 - June 7, 2018

NATIONAL SECURITIES CORPORATION

CRD#: 7569

DALLAS, TX

Past

October 16, 2013 - July 25, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

September 21, 2007 - October 3, 2013

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

March 2, 2007 - October 3, 2013

CLAYTON LOWELL, & CONGER INC

CRD#: 44343

NEW WOODSTOCK, NY

Past

June 27, 2006 - December 13, 2006

CLAYTON LOWELL, & CONGER INC

CRD#: 44343

NEW WOODSTOCK, 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.

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

New York
(6/16/2018)

IAR

New York
(5/9/2021)

Texas
(6/16/2018)

IAR

Texas
(1/8/2019)

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

IAR

Series 65

Date: 1/17/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/2007

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: 3/1/2007

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 6/26/2006

Assistant Representative-Order Processing Qualification Exam

Principal/Supervisory Exam

Series 4

Date: 6/20/2009

Registered Options 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)

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael P. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

NATIONAL SECURITIES CORPORATION

WFG INVESTMENTS, INC.

RIDGEWAY & CONGER, INC.

CLAYTON LOWELL, & CONGER INC

CLAYTON LOWELL, & CONGER INC

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2008

Series 63

Date: 7/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2007

Series 11

Date: 6/26/2006

Series 4

Date: 6/20/2009

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

Similar Advisors