Fred W. Thomas

Some features on this profile are disabled

CRD#: 1214469

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.

Fred William Thomas was a registered financial professional .

Fred is a previously registered financial professional and started their career in finance in 1986. Fred had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

2008: FIXED AND HEALTH INSURANCE SALES, 24 HRS/ MONTH, 8 DURING MARKET HOURS; NON INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 3, 2023 - December 31, 2024

LEIGH BALDWIN & CO., LLC

RIA

CRD#: 38751

FAYETTEVILLE, NY

Past

March 1, 2021 - December 31, 2022

GRACE CAPITAL MANAGEMENT

RIA

CRD#: 161457

FAYETTEVILLE, NY

Past

January 3, 2012 - December 31, 2024

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

March 9, 2009 - January 3, 2012

PINNACLE INVESTMENTS, LLC

CRD#: 142910

EAST SYRACUSE, NY

Past

September 7, 2007 - March 17, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DEWITT, NY

Past

May 29, 2007 - September 10, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

September 22, 2003 - May 31, 2005

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 6, 2003 - December 11, 2003

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

May 22, 1986 - September 1, 1989

ABEL/NOSER CORP.

CRD#: 7537

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 5/20/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/5/1990

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/1/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/5/2003

General Securities Representative Examination

Current Firm

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)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (13 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 3.2025 (3/31/2025)

Direct owners and executive officers

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Fred W. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRACE CAPITAL MANAGEMENT

LEIGH BALDWIN & CO., LLC

PINNACLE INVESTMENTS, LLC

UBS FINANCIAL SERVICES INC.

HSBC SECURITIES (USA) INC.

GOLDMAN SACHS & CO. LLC

MERCER ALLIED COMPANY, L.P.

ABEL/NOSER CORP.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/2003

Series 65

Date: 10/5/1990

SIE

Date: 10/1/2018

Series 3

Date: 9/1/2004

Series 7

Date: 2/5/2003

Current Firm

LEIGH BALDWIN & CO., LLC

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LEIGH BALDWIN & CO., LLC

TRUST BUT VERIFY

Similar Advisors