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LT

Lee E. Trawick

HAZARD & SIEGEL
Dewitt, NY 13214
Some features on this profile are disabled
CRD#: 725330
LT

Professional summary

Lee Evans Trawick is a registered financial professional currently at HAZARD & SIEGEL, INC. located in Dewitt, New York.

Lee is registered as a RR (Registered Representative) and started their career in finance in 1981. Lee has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Lee Evans Trawick'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 10, 2018 - Present

HAZARD & SIEGEL, INC.

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

January 19, 2006 - December 31, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
COLUMBIA, SC
Past

January 1, 2004 - January 23, 2006

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

March 4, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

February 10, 2000 - February 26, 2002

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

November 30, 1998 - February 3, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

January 15, 1998 - October 28, 1998

W.C. SMITH & COMPANY, INC.

BD
CRD#: 36865
GREENVILLE, SC
Past

August 16, 1995 - November 25, 1997

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

April 15, 1993 - August 24, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

April 15, 1993 - August 24, 1995

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

September 27, 1985 - January 29, 1993

F & G SECURITIES, INC.

BD
CRD#: 16364
Past

March 9, 1981 - May 27, 1982

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

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
Connecticut
(11/10/2022)
RR
Pennsylvania
(11/19/2019)
RR
South Carolina
(1/10/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/1985
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: 9/26/1985
Investment Company Products/Variable Contracts 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)
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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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