Message From The President

Thank you for visiting our website today. We appreciate your interest in us and would like to share a bit of our story, for which we have a great deal of passion.

Together with CEO Lex Joseph and our entire team we have created an organization that does things in an old school way. We keep it simple – provide our independent financial professionals the resources and flexibility to do the right things for their clients. Whether it involves our broker-dealer, our registered investment advisor, or our insurance agency, our processes and tools allow us to do the best job possible to assist people in working towards building, protecting, and managing wealth.

When we put it all together (legally, ethically, and as a matter of personal conviction), we have something very powerful that we like to call “Fiercely Independent”.

If you would like to learn more about our approach to working with independent financial professionals or becoming a client, please give us call or email us.

Dave Mullen,
President and Chief Compliance Officer


Hazard & Siegel is an organization built by people like you, independent-minded financial professionals.  As the oldest broker-dealer in Upstate New York, Hazard & Siegel has been providing excellent business opportunities for independent brokers for over 50 years. Our success is based on a commitment to create a culture for financial professionals based on entrepreneurship, compliance, personal responsibility, and transparency.

We partner with financial professionals who share our values and our commitment to integrity, independence, unbiased investment advice, and service.  In return, we enable their success through a fiercely independent financial services business environment.  Hazard & Siegel offers non-proprietary products including mutual funds, managed accounts, alternative products, annuities, and life insurance.  Furthermore, our compliance knowledge, industry expertise, and marketing services help our financial professionals develop their business plan.

In short, the Hazard & Siegel mission is to offer and provide an organization in which the independent financial professional can deliver high-quality products and services to investors across our service areas.