Sharon Risley Halligan

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Contact Information

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Disclosures on record.

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.

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Years of Experience

41 years registered in the securities industry

Current & Past Employments

Current

LEIGH BALDWIN & CO., LLCCurrent·CRD# 38751

RIA

BD

2520 Genesee Street, Utica, NY 13502

August 21, 1995 - Present

Past

HUSS SERVICES, INC.Past·CRD# 2258

BD

Norwich, NY

September 10, 2003 - January 3, 2011

NEWMAN, LADD CAPITAL, INC.Past·CRD# 38841

BD

Syracuse, NY

October 19, 2006 - October 15, 2007

CYGNET SECURITIES, INC.Past·CRD# 28686

BD

Waldwick, NJ

May 18, 1994 - September 12, 1995

M. GRIFFITH INVESTMENT SERVICES, INC.Past·CRD# 2078

BD

New Hartford, NY

December 13, 1985 - May 20, 1994

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Current Firm

LB

LEIGH BALDWIN & CO., LLC

DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC

CRD#: 38751 / SEC#: 801-69290, 8-48385

RIA

Registered Investment Advisory firm - SEC (6/24/2008 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

112 Albany Street, Cazenovia, NY 13035

Mailing Address

112 Albany Street, Cazenovia, NY 13035-0660

Phone Number

(315) 655-2964

Established

Delaware since 01/31/1995

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

16

SEC notice filing (13 States and Territories)

Registered to provide investment advisory services in 13 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 13 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV (5/19/2026)

Direct owners and executive officers

Name	Position	CRD#
BALDWIN, LEIGH DOUGLAS	PRESIDENT / OWNER / MANAGING MEMBER/ CFO	1895333
LEIGH BALDWIN & CO., INC.	OWNER	—
LEIGH BALDWIN RIA, LLC	OWNER	—
DOROZYNSKI, STEFANIE LEE	CHIEF COMPLIANCE OFFICER	4899201

Regulatory Assets Under Management

Total Number of Accounts

986

AUM (Assets Under Management)

$290,629,757

Disclosures

Regulatory Event

4

Arbitration

1

Bond

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LB

LEIGH BALDWIN & CO., LLC

DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC

CRD#: 38751 / SEC#: 801-69290, 8-48385

RIA

Registered Investment Advisory firm - SEC (6/24/2008 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

New York
(8/21/1995)

RR

Rhode Island
(11/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.