David D. Barschi
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.
David Dean Barschi, who also goes by David Dean Barscldi, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 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, 2012 - July 8, 2022
LEIGH BALDWIN & CO., LLC
April 28, 2004 - December 31, 2011
THE INVESTMENT CENTER, INC.
November 5, 1999 - April 26, 2004
MAIN STREET MANAGEMENT COMPANY
September 5, 1984 - November 8, 1999
PRUCO SECURITIES, LLC.
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
Exams
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
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.
