Unclaimed Profile

David Mark Mullen

HAZARD & SIEGEL ADVISORY SERVICES LLC·DEWITT, New York

SIE, Series 6, Series 7, Series 8, Series 9, Series 10, Series 14, Series 22, Series 24, Series 27, Series 52TO, Series 53, Series 63, Series 65, Series 99TO16 years registeredHAZARD & SIEGEL ADVISORY SERVICES LLC

5793 WIDEWATERS PARKWAY, DEWITT, NY 13214CRD# 1327419Firm CRD# 151462

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Mark Mullen · DEWITT, NY

Registration

CRD #1327419 · HAZARD & SIEGEL ADVISORY SERVICES LLC · 16 years registered

Brand Profile

Not yet started

Career History

HAZARD & SIEGEL ADVISORY SERVICES LLC

Aug 2010 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 8

Series 9

Series 10

Series 14

Series 22

Series 24

Series 27

Series 52TO

Series 53

Series 63

Series 65

Series 99TO

Registration record

First registered · August 6, 2010

Years registered · 16

Disclosure History

2012Regulatory·Final

2011Customer Dispute·Settled

2010Customer Dispute·Dismissed

1994Employment Separation After Allegations

6 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HAZARD & SIEGEL ADVISORY SERVICES LLC

CRD 151462 · SEC 801-70690

AUM

$342M

Regulatory assets under management

Employees

294 client accounts

Services offered by HAZARD & SIEGEL ADVISORY SERVICES LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HAZARD & SIEGEL ADVISORY SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does David Mark Mullen offer?

David Mark Mullen specializes in Financial Planning, Investment Management. Contact their office in DEWITT, New York for a consultation.

What are David Mark Mullen's credentials?

David Mark Mullen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Mark Mullen located?

David Mark Mullen is based in DEWITT, New York, working with HAZARD & SIEGEL ADVISORY SERVICES LLC. Their office serves clients in the DEWITT metropolitan area and surrounding communities.

How does David Mark Mullen charge for services?

David Mark Mullen's firm is compensated through percentage of aum, hourly charges, subscription fees, other: solicitor fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HAZARD & SIEGEL ADVISORY SERVICES LLC?

HAZARD & SIEGEL ADVISORY SERVICES LLC has approximately 26 employees and manages $342M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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