Robert J. Baldes

WEALTH STRATEGIES & SOLUTIONS, LTD.

Rochester, NY 14623-3238

Some features on this profile are disabled

CRD#: 1282980

Professional summary

Robert J Baldes JR, who also goes by Bob Baldes, is a registered financial advisor currently at WEALTH STRATEGIES & SOLUTIONS, LTD. located in Rochester, New York and LEIGH BALDWIN & CO., LLC located in Rochester, New York.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 72, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Baldes

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.

5/2012: DBA WEALTH STRATEGIES AND SOLUTIONS; 100% OWNER; 40 HRS/WEEK; INVESTMENT RELATED FOR LICENSED ACTIVITIES THROUGH FIRM. 1/1984: FIXED INSURANCE, LIFE, DISABILITY, LTC, HEATH; AS NEEDED; NON INVESTMENT RELATED. 5/2012: VICTOR REPUBLICAN COMMITTEE; 2-3 HRS/MONTH; NON INVESTMENT RELATED. 8/2014: PROMARK BROKERAGE INC; INSURANCE BROKERAGE CONSULTANT; NO OWNERSHIP, NON INVESTMENT RELATED, MINIMAL HOURS. 1/2015: ASSISTANT TREASURER EASTERN ASSOCIATION IF NORTH AMERICAN BAPTIST; 1-2 HRS/MONTH 0 DURING MARKET HOURS; NON INVESTMENT RELATED; NO OWNERSHIP. 1/2015: AUDIT COMMITTEE MEMBER ONTARIO COUNTY REPUBLICAN COMMITTEE; 2-3 HRS/QUARTER 0 DURING MARKET HOURS; NON INVESTMENT RELATED; NO OWNERSHIP. 1/2016: American Senior Services salesperson; Home Care Services contract; hour vary during market hours, as needed; non investment related; no ownership. 12/2020: Power of Attorney for Elizabeth Baldes/mother. as needed, non investment related, no ownership, no compensation, minimal hour spent on activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert J Baldes JR's CRS (Customer Relationship Summary).

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

Current

April 13, 2021 - Present

WEALTH STRATEGIES & SOLUTIONS, LTD.

Office #1: 900 Jefferson Road Suite 301, Rochester, NY 14623-3238

RIA

CRD#: 297130

Rochester, NY

Current

August 6, 2012 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 900 Jefferson Road Ste 301, Rochester, NY 14623

RIA

CRD#: 38751

Rochester, NY

Past

March 24, 2006 - May 1, 2012

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

VICTOR, NY

Past

November 1, 2005 - April 6, 2006

HAZARD & SIEGEL, INC.

CRD#: 2048

DEWITT, NY

Past

November 24, 2004 - March 14, 2005

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

March 19, 1999 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

August 3, 1984 - March 18, 1999

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Visual representation of state registrations

Colorado
(8/6/2012)

Florida
(7/16/2014)

Kentucky
(9/13/2021)

Michigan
(9/15/2021)

Nevada
(6/9/2015)

New York
(8/6/2012)

IAR

New York
(4/13/2021)

North Carolina
(9/9/2024)

South Carolina
(11/1/2023)

Tennessee
(9/13/2021)

Wisconsin
(10/1/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/11/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/31/2006

General Securities Representative Examination

General Industry/Product Exam

Series 72

Date: 2/17/2006

Government Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 11/8/1991

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 8/2/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WEALTH STRATEGIES & SOLUTIONS, LTD.

WEALTH STRATEGIES & SOLUTIONS, LLC | WEALTH STRATEGIES & SOLUTIONS, LTD.

CRD#: 297130 / SEC#:

New York

Registered Investment Advisory firm - (7/31/2018 Approved)

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

900 Jefferson Road Suite 301, Rochester, NY 14623-3238

Mailing Address

Phone number

(585) 678-6950

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 9,616,413

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

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Baldes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert J Baldes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

1ST GLOBAL CAPITAL CORP.

HAZARD & SIEGEL, INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/1995

Series 63

Date: 8/2/1984

SIE

Date: 10/1/2018

Series 7

Date: 5/31/2006

Series 72

Date: 2/17/2006

Series 62

Date: 11/8/1991

Series 6

Date: 8/2/1984

Series 24

Date: 7/30/2004

FINRA

Current Firm

WEALTH STRATEGIES & SOLUTIONS, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH STRATEGIES & SOLUTIONS, LTD.

TRUST BUT VERIFY

Similar Advisors