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William Peter Miller

HAZARD & SIEGEL
DEWITT, NY
·CRD# 7482093·4 years experience

Professional Summary

William Peter Miller, who also goes by Pete Miller, is a registered financial advisor currently at HAZARD & SIEGEL, INC. located in Dewitt, New York. William is registered as a RR (Registered Representative) and started their career in finance in 2022. William has worked at 3 firms and has passed the Series 63, Series 6TO, Series 7TO and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Pete Miller

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

4 years in the financial services industry

Current & Past Employments

HAZARD & SIEGEL, INC.·CRD# 2048
BD
5793 Widewaters Parkway, Dewitt, NY 13214
May 19, 2024 - Present
TRANSAMERICA CAPITAL, LLC·CRD# 8217
BD
Plano, TX
July 11, 2023 - May 20, 2024
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Westlake, TX
March 23, 2022 - April 6, 2023

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Current Firm

H&
HAZARD & SIEGEL, INC.

HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: 8-13942
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

FINRA licenses (43 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOSEPH, ALEXANDER SOTIR JRCHIEF EXECUTIVE OFFICER1092307
MULLEN, DAVID MARKPRESIDENT/CHIEF COMPLIANCE OFFICER1327419

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2022About the Series 63 exam

Series 6TO — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2023About the Series 6TO exam

Series 7TO — General Securities Representative Examination

Passed Mar 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Mar 2022About the SIE exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view William Peter Miller's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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