William L. 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.
William Lewis Baldwin, who also goes by William L Baldwin, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 87, Series 1, Series 24, Series 27, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2013 - May 1, 2026
CRESCENT SECURITIES GROUP, INC.
January 3, 2011 - December 31, 2015
BALDWIN INVESTMENT ADVISORS, INC.
January 1, 2006 - December 31, 2010
BALDWIN INVESTMENT ADVISORS, INC.
July 29, 1998 - December 31, 2012
BALDWIN ANTHONY SECURITIES, INC.
March 2, 1998 - April 28, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 24, 1992 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
February 24, 1978 - June 24, 1992
MORGAN STANLEY DW INC.
November 17, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
March 15, 1976 - November 27, 1976
WOOD STRUTHERS & WINTHROP INC
August 11, 1970 - January 10, 1975
MCCLENNAHAN SECURITIES CORP
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/8/1968
Registered Representative ExaminationSeries 12
Date: 12/21/1981
NYSE Branch Manager ExaminationSeries 00
Date: 7/20/1971
General Securities Principal ExaminationCurrent Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
