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Peter Carroll Ward

Investment Adviser Representative at HAZARD & SIEGEL ADVISORY SERVICES LLC

Cazenovia, NYCRD #5104412Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
7 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Peter Carroll Ward has worked in the securities industry since 2006. They are registered to provide investment advisory services in Colorado, Connecticut, Florida, New York, North Carolina, Pennsylvania, and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
ColoradoConnecticutFloridaNew YorkNorth CarolinaPennsylvaniaTexas
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 7/7/2006
Series 65
Uniform Investment Adviser Law Examination
Passed 3/10/2006
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/30/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Hazard & Siegel Advisory Services LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

HAZARD & SIEGEL ADVISORY SERVICES LLCCurrent
4/4/2016Cazenovia, NY
HAZARD & SIEGEL, INC.Current
3/1/2016Cazenovia, NY
RIDGEWAY CONGER ADVISORY SERVICES
1/9/201512/31/2015New Woodstock, NY
RIDGEWAY CONGER ADVISORY SERVICES
11/4/200912/31/2014New Woodstock, NY
UBS FINANCIAL SERVICES INC.
6/4/200912/2/2009Syracuse, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Peter Carroll Ward has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Peter Carroll Ward - Financial Advisor in Cazenovia, NY | AdvisorFinder