Peter C. Ward

HAZARD & SIEGEL ADVISORY SERVICES LLC

CAZENOVIA, NY

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CRD#: 5104412

Professional summary

Peter Carroll 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.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Peter has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 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.

SALES AND SERVICE OF FIXED INSURANCE PRODUCTS ON AN INDEPENDENT CONTRACTOR BASIS. USING DBA OF WARD WEALTH MANAGEMENT GROUP LLC. START DATE 2006. WORK FROM HOME ADDRESS, 2-15 HOURS PER MONTH, ABOUT HALF DURING TRADING HOURS. SOLICITOR FOR HAZARD & SIEGEL ADVISORY SERVICES LLC, REFER CLIENT ACCOUNTS TO MONEY MANAGER, REGISTERED INVESTMENT ADVISOR. 2-20 HRS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Carroll 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

April 4, 2016 - Present

HAZARD & SIEGEL ADVISORY SERVICES LLC

RIA

CRD#: 151462

CAZENOVIA, NY

Current

March 1, 2016 - Present

HAZARD & SIEGEL, INC.

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

CRD#: 2048

Dewitt, NY

Past

January 9, 2015 - December 31, 2015

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOODSTOCK, NY

Past

November 23, 2009 - March 10, 2016

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

November 4, 2009 - December 31, 2014

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOODSTOCK, NY

Past

June 4, 2009 - December 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SYRACUSE, NY

Past

July 3, 2006 - December 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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.

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

Colorado
(9/9/2022)

IAR

Colorado
(9/12/2022)

IAR

Connecticut
(8/17/2022)

IAR

Florida
(4/4/2016)

New York
(3/1/2016)

IAR

New York
(5/9/2021)

IAR

North Carolina
(10/21/2022)

Pennsylvania
(2/2/2021)

IAR

Pennsylvania
(2/2/2021)

Texas
(4/12/2018)

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

Series 63

Date: 7/7/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/10/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2006

General Securities Representative 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)

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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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Firm Stability Insights

Peter C. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Carroll Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAZARD & SIEGEL, INC.

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY & CONGER, INC.

RIDGEWAY CONGER ADVISORY SERVICES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HAZARD & SIEGEL ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/2006

Series 65

Date: 3/10/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2006

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

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