William H. Connors

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CRD#: 1404313

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 Haydn Connors, who also goes by Bill Connors, William Hayden Connors, William Connors, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1985. William had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Connors | William Hayden Connors | William Connors

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.

The advisor shows no other business activity.

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

March 26, 2012 - December 31, 2024

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Littleton, CO

Past

June 21, 2004 - December 31, 2025

VALUE FINANCIAL ADVISERS, INC.

RIA

CRD#: 107321

DENVER, CO

Past

January 1, 1999 - May 11, 2004

VALUE FINANCIAL ADVISERS, INC.

RIA

CRD#: 107321

DENVER, CO

Past

September 18, 1990 - March 27, 2012

OMNIVEST, INC.

CRD#: 13396

DENVER, CO

Past

October 24, 1989 - February 27, 1991

PIM FINANCIAL SERVICES, INC.

CRD#: 10547

SAN MARCOS, CA

Past

January 27, 1986 - October 31, 1989

KORN, WOMACK, STERN AND ASSOCIATES, INC.

CRD#: 16933

Past

November 14, 1985 - February 3, 1986

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

August 21, 1985 - November 8, 1985

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

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

IAR

Series 66

Date: 10/19/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/1991

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: 8/17/1985

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)

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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.

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Firm Stability Insights

William H. Connors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALUE FINANCIAL ADVISERS, INC.

VALUE FINANCIAL ADVISERS, INC.

OMNIVEST, INC.

PIM FINANCIAL SERVICES, INC.

KORN, WOMACK, STERN AND ASSOCIATES, INC.

VALUE EQUITIES CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2012

Series 63

Date: 10/9/1991

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

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

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