David W. Groom
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David W Groom, who also goes by David William Groom, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2019 - August 17, 2021
LEIGH BALDWIN & CO., LLC
January 24, 2003 - March 4, 2019
PARK AVENUE SECURITIES LLC
May 3, 1999 - March 4, 2019
PARK AVENUE SECURITIES LLC
February 9, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
January 5, 1995 - December 31, 1996
CADARET, GRANT & CO., INC.
September 4, 1990 - January 5, 1995
GUARDIAN INVESTOR SERVICES LLC
June 25, 1987 - September 7, 1990
W.D.R. EQUITY RESOURCES, INC.
May 27, 1987 - July 3, 1990
LCP CAPITAL CORP.
October 31, 1986 - May 6, 1987
ABACUS EQUITY SERVICES, INC.
October 25, 1982 - March 17, 1987
MML INVESTORS SERVICES, LLC
May 12, 1982 - October 31, 1986
CARDELL & ASSOCIATES, INCORPORATED
March 11, 1982 - September 14, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
