George H. Baldwin
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.
George Horace Baldwin was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 8 firms and has passed the Series 41, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1989 - November 7, 1990
LCP CAPITAL CORP.
July 6, 1989 - August 17, 1989
BRITSON INVESTMENTS, INC.
September 9, 1987 - July 11, 1988
ACUMENT SECURITIES, INC.
April 1, 1986 - July 16, 1987
BALDWIN CAPITAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
June 24, 1982 - March 14, 1986
MONTGOMERY SECURITIES
December 23, 1976 - March 23, 1982
SUTRO & CO. INCORPORATED
June 23, 1975 - December 22, 1976
C. E. UNTERBERG, TOWBIN CO.
August 14, 1973 - October 27, 1974
DREXEL BURNHAM & CO. INCORPORATED
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
Series 41
Date: 9/19/1978
NYSE Allied Member ExaminationSeries 000
Date: 8/9/1973
General Securities Principal ExaminationSeries 1
Date: 8/9/1973
Registered Representative ExaminationSeries 40
Date: 5/26/1977
Registered Principal ExaminationCurrent Firm
LCP CAPITAL CORP.
CRD#: 14469 / SEC#: , 8-44577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HANOVER LP | OWNER | |
| LMJG LP | OWNER | |
| WESTAR CAPITAL CORP | OWNER | |
| ALIOTTA, ANTHONY JOSEPH JR | BRANCH MANAGER/DIRECTOR | 2835162 |
| ARMITAGE, RONALD DAVID | COMPLIANCE OFFICER | 7228 |
| BRODY, KEVIN PATRICK | SALES MANAGER/DIRECTOR | 1912980 |
| CUTRONE, NICHOLAS ALEXANDER | ASSISTANT BRANCH MANAGER | 2692158 |
| MURRAY, DAVID MICHAEL | ASSISTANT BRANCH MANAGER | 1870050 |
| NEWMAN, IRA BERNARD | CFO | 1242346 |
| RICCA, GREGORY EMMANUEL | BRANCH MANAGER/DIRECTOR | 2080220 |
| STOFFERS, CHARLES STEVEN | PRESIDENT/CCO | 826603 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 31 |
Red Flags
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