Sharon R. Halligan
Professional summary
Sharon Risley Halligan is a registered financial professional currently at LEIGH BALDWIN & CO., LLC located in Utica, New York.
Sharon is registered as a RR (Registered Representative) and started their career in finance in 1985. Sharon has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sharon Risley Halligan's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 1995 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 2520 Genesee Street, Utica, NY 13502October 19, 2006 - October 15, 2007
NEWMAN, LADD CAPITAL, INC.
September 10, 2003 - January 3, 2011
HUSS SERVICES, INC.
May 18, 1994 - September 12, 1995
CYGNET SECURITIES, INC.
December 13, 1985 - May 20, 1994
M. GRIFFITH INVESTMENT SERVICES, INC.
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
(8/21/1995)
(11/23/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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