Joining The Hazard & Siegel Team


Joining Hazard & Siegel is a strategic move that promises a world of opportunities. As you evaluate potential broker-dealers, our firm stands out with a stellar reputation, extensive product offerings, cutting-edge technology platforms, a competitive compensation structure, and a culture that fosters growth, collaboration, and trust. At Hazard & Siegel, we prioritize effective communication and seamless integration, ensuring your transition is smooth and hassle-free. Our dedicated support and resources will empower you to enhance your professional development, expand your client base, and provide exceptional service. Trust Hazard & Siegel to guide you through a successful transition, where your career can flourish and your clients can thrive.

Transitioning to Hazard & Siegel

Phase One: Preparation

The usual timeframe for approval is between 3 and 5 business days once we receive authorization and production documentation. During our discussion, we will provide you with an estimate of the onboarding fees, as well as address the following items relevant to your business: marketing and branding, credentials, office staff, product mix, technology, and any limitations regarding non-compete and privacy policies with your current broker-dealer and Registered Investment Advisor.

Phase Two: Coordination

Hazard & Siegel’s experienced transition team is dedicated to ensuring a successful move for you. Prior to transitioning, you will be connected with a Transition Specialist who will actively assist you with technology, direct business, operations, commissions, compliance, and licensing throughout the process.

Phase Three: Onboarding

We are excited to initiate a smooth and efficient transition for you and your business at Hazard & Siegel! Right from the start, your dedicated Transition Specialist and our various departments will support you with the necessary procedures to establish you as a representative of Hazard & Siegel. These procedures include licensing, technology integration, direct business setup, brokerage operations coordination, compliance adherence, and commission arrangements

Transition Checklist

1. Have a discussion with Hazard & Siegel management to determine your transition date:

    • Fees due at your current broker-dealer
    • Current and future business in the process
    • Future trails and their anticipated dates
    • Unpaid pending commissions.

2. Review the appropriate forms for your transition:

      • Hazard & Siegel Customer Account Form
      • Broker-Dealer Transfer Form
      • Any paperwork Account Applications
      • Additional forms applicable to your transition

    3. Work with the licensing department on registration paperwork and requirements:  

      • Registration packet
      • Fingerprints
      • Electronic U4
      • Onboarding fees
      • Annuity appointments for applicable carriers

    4. Finalize Your Transition

      • Review your marketing materials with our compliance team – business cards, letterhead, website, etc.
      • Work with our transition team on how to submit business.
      • Get up to speed on our technology
      • Hold a call with recruiting to ensure all items have been addressed leading up to transfer day.

    Frequently Asked Questions

    Q: What is the compensation schedule?
    A: Commissions are paid bi-weekly. Advisors fees are paid as received.

    Q: How long will it take to transfer my accounts to Hazard & Siegel?
    A: As a part of the transition process, our team will work with you to prepare for account transfers before joining Hazard & Siegel

    Q: Can client forms be completed electronically?

    A: Yes. All forms are submitted to our CRM, with electronic signatures available.

    Q: Does Hazard & Siegel Offer E&O Insurance?

    A: Yes. We require you to participate in our E&O insurance program. This program includes security business, advisory business, and life / annuity and related insurance products.

    Q: How do I submit new business?
    A: All business transactions are conducted through our CRM system

    Q: What technologies are available to me at Hazard & Siegel
    A: We provide a mandatory CRM system for all advisors, other than that you are free to use other tools we provide or use your own tools as long as they are compliant and approved.

    Q: Is there a requirement to use a client management system, financial planning, or other software?
    A: We require advisors to use our Customer Relation Management System (CRM) to manage clients and accounts, other than that you are free to use whatever system works best for you as long as is approved by our compliance department.

    Q: What is the Hazard & Siegel culture like?
    A: We are an independent, privately owned firm that believes in treating our team with the respect they deserve. Our culture is collaborative and open and our team enjoys a professional yet family-like atmosphere.

    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.