Executive Team

Alexander “Lex” Joseph Jr., CEO
With nearly 35 years in financial services, Lex began his career after college in insurance industry direct sales, quickly becoming director of sales for Unity Mutual Life Insurance Company, where he recruited and developed general agents for the company. Next, Lex joined his family’s life insurance firm as a general agent and eventually became Vice President of Alex S. Joseph Associates, Inc., a life insurance brokerage with over 250 licensed agents.  In 1984, seeing opportunities for growth in the retirement plan marketplace, Lex founded Omega, Inc., a third party administrator of pension plans. In 2003, with a vision for how an independent broker-dealer should function, Lex purchased Hazard & Siegel, Inc. and formed the Hazard & Siegel Agency, LLC and Hazard & Siegel Advisory Services to provide a comprehensive service offering.

Dave Mullen, President & Chief Compliance Officer

Dave has been in the financial services industry for over 30 years, starting with Connecticut Mutual Life in 1984, then running his own award-winning practice and ultimately in a variety of supervisory roles in mutual funds and insurance sales. Anticipating the shifts in the financial services marketplace, Dave became involved in the independent broker-dealer industry bringing his knowledge, insight and supervisory skills to help grow Hazard & Siegel into the organization that it is today. Dave’s experience provides leadership in all aspects of broker-dealer management and planning; especially for compliance, financial planning, operations, and human resources.

Helen Joseph, Comptroller

Helen has over 30 years of experience in the insurance and financial industries. A graduate of Onondaga Community College, Helen worked in the accounting department at two local insurance companies before becoming the comptroller at Omega, Inc. in the mid 1980’s. In 2003 she became the comptroller for the Hazard & Siegel family of companies in addition to her duties at Omega, Inc.

Stephanie Urban, Director of Operations

Stephanie has been involved in the operations side of broker-dealers for close to 20 years. Starting out at a major insurance company, she then worked at one of the largest independent broker-dealers in the country. Stephanie has been with Hazard & Siegel since the company was acquired and has been a key executive in the management and growth of the organization.

Operational Team

Clyde Goldberg, Compliance Officer

William “Bill” Sovik, Sales and Marketing Director, CLU

Anna Martin, New Accounts Department

Alex Joseph III, – Compensation Specialist