David Mullen, financial advisor Dewitt NY
38 score

David Mullen

CRD Number: 1327419
Current Firm: Hazard & Siegel Advisory Services LLC

David Mullen (CRD# 1327419) is an Investment Advisor Representative working at Hazard & Siegel Advisory Services LLC in Dewitt, NY and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Hazard & Siegel Advisory Services Dewitt, NY Oct 2009 - Current 7
Hazard & Siegel, Inc. Syracuse, NY Jun 2003 - Current 13
Mullen Financial Services Cazenovia, NY Sep 1984 - Current 32
Newman Ladd Capital Inc. Syracuse, NY Feb 2006 - Oct 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1984
S65 NASAA Investment Advisors Law Examination Jun 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for David M. Mullen
Phone Number: 315-414-0722
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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