Do You and Your Broker-Dealer Have Different Ideas About Independence?

Understanding the significance of maintaining true independence in the financial industry is core to who we are. Our firm is dedicated to empowering financial professionals with the freedom and autonomy they deserve. With a client-centric approach, we prioritize aligning your goals and values with our services.

Talk To Us About Your Future

Be In Business For Yourself, Not By Yourself.

FIERCELY INDEPENDENT

What does being independent mean to you?

Do you feel like your broker-dealer is holding you back from achieving true independence in your financial services practice? If you and your broker-dealer have different ideas about independence, it may be time to consider a change.

At Hazard & Siegel, we believe in fiercely independent thinking. We provide our financial representatives with the tools, resources, and support necessary to build their own brand and client base. Our approach is customizable, giving our representatives the freedom to provide the best possible solutions for their clients.

If you’re feeling restricted by your broker-dealer’s approach, come see what it’s like to work for a company that values independence and empowers its representatives to take control of their own success. We believe that our fiercely independent approach sets us apart from other financial services firms, and we’re proud to offer a dynamic and rewarding career path for those who share our values.

So if you’re ready to break free from the limitations of your current broker-dealer and pursue a truly independent practice, Hazard & Siegel is the firm for you. Join us and see what it’s like to work with a team that supports your goals, respects your unique approach, and gives you the tools you need to succeed.

Solutions

Compliance

Technology

Compensation

Marketing

CHART YOUR PATH TO TRUE INDEPENDENCE

It all starts with you. What do you want your practice to look like? We will help you define the vision for your future.

Our implementation team will work with you to get you started. Our experts are here to get you up and running.

Start out strong! Working with our senior financial experts, we will help you develop a strategic plan for you and your clients.

Live your dream and be part of our Fiercely Independent network of financial professionals. We’re always here for you.

Join Our Team

Essential Services That Help You Succeed

Broker/Dealer:

Our broker/dealer service offers financial professionals a better professional experience. Through strategic financial planning, common sense regulatory compliance, training programs, and marketing support. We help optimize performance by streamlining workflow & paper work, so you can focus on building relationships with your clients and grow your business.

Common Sense Compliance
Streamline Workflow & Paperwork
Ongoing Training & Education
Wide Range of Investment Options
Friendly & Professional Culture

Registered Investment Advisory:

What makes us different? We provide multiple RIA channels and platforms. It’s not up to us, you make the choices that are best for you and your clients. With a focus on transparency and fiduciary responsibility, our registered investment advisory service allows you to build trust with your clients and provide them with personalized advice.

Multiple RIA Channels & Platforms
Custom Portfolio Planning
Responsive Senior Management
Proven Track Record of Success
Transparent & Competitive Fees

Insurance Services:

Hazard & Siegel insurance services provide you with options for life insurance, annuities, disability income, and long-term care. Our team of financial and insurance experts helps protect your clients and offer financial security in the future.

Full Range of Annuity Products
Disability Income
Long-term Care
Life Insurance Expertise

Client Management Systems:

Our client management systems provide financial professionals with the tools they need to manage their client relationships more effectively. Our CRM features automated workflows, customizable reporting, and integrated marketing tools, allowing you to streamline your business operations and provide a better client experience.

Cloud-based CRM
Electronic Application System
Electronic Signatures
Custom Reports
Web & Video Conferencing

Marketing Support:

Our marketing support services provide financial professionals with access to modern marketing resources, including social media, digital marketing, brochures, and web pages. With support from our team of marketing experts, you can build your brand, attract new clients, and maintain your existing client base.

Professional Website Profile
Free Brochures & Business Cards
Social Media Support
Digital Sales & Marketing Tools

The Hazard & Siegel Difference

At Hazard & Siegel we approach the business differently. We believe in fostering a sense of belonging, community, and true independence among our financial professionals. As a member of our team, you can expect to work collaboratively with us to enhance your business and nurture the growth of your unique brand. Our comprehensive support system provides high-quality products, consultation services, compliance management, marketing assistance, and training resources to help you succeed. We pride ourselves on simplifying your workflow and removing any barriers that may impede your progress. Unlike larger organizations that restrict your freedom of choice, we offer a more flexible approach that prioritizes your needs and goals. At Hazard & Siegel, we strive to make you feel like part of our family, and we’re committed to helping you achieve your full potential.

Still Undecided?

But the best way to understand the Hazard & Siegel difference is to talk to us and experience what being a true independent financial professional really means.

Let's Have A Discussion

Financial Solutions

At Hazard & Siegel, our management team works closely with you to develop the best financial strategies for your clients. We take the time to understand the unique needs of you and your clients, and we take the time to work with you in order to provide personalised recommendations. Our team of experienced advisors has a wealth of knowledge and expertise in various areas of financial planning, including investment management, retirement planning, estate planning, and more.

We offer a wide range of products and investment services to help you meet your clients' needs. You can expect fast and accurate processing of your business submissions, as well as immediate notification of any issues. We understand that your time is valuable, which is why we require as few forms as possible and handle all business submissions with care to ensure that nothing slips through the cracks. Our expansive product list can help facilitate a smooth transition to our firm, providing you with the essential building blocks to maintain your standard of client service. We take pride in providing exceptional service and support to both you and your clients, and we look forward to working together.

College Savings Plans
ETFs
Independent Registered Investment Advisor (RIA)
Mutual Funds

REITs
Variable Annuities
Variable Life
401k/Retirement Plans

Common Sense Compliance for “Better Best Interest”

Best Interest is more than a buzzword for us. It's fundamental to how we do business and always has been.

We believe that compliance is here for the best interests of your clients. Sure, you’ve heard that before, but we actually take the time to understand your client’s needs and work with you to find the right solution. It’s not easy for us, but we don’t work off “checklists” or pre-determined outcomes. Our team takes a consultative approach to help you navigate the rules and truly do what’s best for your client. Our knowledge of product choices and nuance allows you to do it right the first time. It’s great for your clients, and good for you.

Our regulatory guidance is designed to protect you, and we provide comprehensive training on our policies and in-house procedures to ensure that submitting requests is fast and easy. Our team of trained professionals has in-depth knowledge of all federal and state regulations, and we are equipped to respond accurately and quickly to your questions and submitted materials. With our guidance and support, you can hit the ground running and focus on what you do best: serving your clients.

We actively work with you to build the best compliant solutions for your clients
Clear guidance on operational requirements
Compliance approval for business cards, letterhead, marketing materials, notice to clients, and any other materials you need
Assistance with registration materials
Guidance with Broker-Dealer transitions
Help to obtain licenses in additional states where you do business
Assistance and support for regulatory inquiries
Ensuring FINRA and SEC compliance standards are met without imposing undue demands
Variable company appointment paperwork
Ongoing continuing education
Annual Compliance Meeting and Firm Element/AML requirements

Technology

At the core of our technology offering is an affordable CRM that helps you organize, administer, communicate, and stay compliant. As an independent professional, we believe that you should have the flexibility to decide what will have the greatest impact on your business. To that end, we provide options in addition to the mandatory CRM that offer workflow efficiency, better client communications, and marketing to help maintain and grow your business. At Hazard & Siegel, you have the freedom to decide which systems work best for managing client assets, portfolio analysis, financial planning, client communications, and marketing. It's all about finding the tools that work best for you and your clients.

State-of-the-art CRM - Customer Relationship Management
Fill out applications by hand, Laser App, or fillable PDF
Quick and secure automated paperwork submission through the CRM
Maintain consistent communication with your clients through the CRM communication system
Streamline account processing with electronic signature
You decide what systems work best for you for managing client assets, portfolio analysis, financial planning, communication, electronic signatures, and marketing, with compliance approval

Compensation

At Hazard & Siegel, we offer a compensation program designed to reward our independent representatives for their hard work and dedication. Our compensation plan is based on a combination of factors, including the products or services offered, sales performance, and the overall success of the representative's business.

As both a trusted broker-dealer and a Registered Investment Advisor, we understand the importance of ensuring that our representatives have a clear understanding of their compensation structure. At Hazard & Siegel, we pride ourselves on being fair and transparent. Our compensation program is competitive in the industry. We don't play games with your hard-earned money.

Personalized Marketing

Professional Website Profile
Free Brochures & Business Cards
Social Media Marketing Support
Digital Sales & Marketing Resources
Custom Marketing Services Available