Daniel A. Parkin

LEIGH BALDWIN & CO.

Blossvale, NY

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CRD#: 1415780

Professional summary

Daniel Alfred Parkin is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Blossvale, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

2018: Black Water Flow; member of a band; no ownership; non investment related; 10 hr/week during non market hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alfred Parkin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Alfred Parkin's CRS (Customer Relationship Summary).

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

July 13, 2022 - Present

LEIGH BALDWIN & CO., LLC

RIA

CRD#: 38751

Blossvale, NY

Current

January 3, 2007 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035-0660

RIA

CRD#: 38751

Cazenovia, NY

Past

August 12, 2021 - July 11, 2022

NEWMAN LADD CAPITAL ADVISORS, LLC.

RIA

CRD#: 129860

CAMILLUS, NY

Past

January 23, 2003 - December 31, 2006

NEWMAN, LADD CAPITAL, INC.

CRD#: 38841

SYRACUSE, NY

Past

June 17, 1996 - January 2, 2003

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

July 21, 1989 - June 27, 1996

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

September 25, 1985 - July 25, 1989

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

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.

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

Arkansas
(1/3/2007)

Florida
(1/3/2007)

Indiana
(2/11/2011)

Massachusetts
(11/4/2008)

IAR

Massachusetts
(11/7/2025)

New York
(1/3/2007)

IAR

New York
(7/13/2022)

IAR

North Carolina
(3/28/2024)

Oregon
(6/12/2019)

Pennsylvania
(6/30/2010)

Virginia
(1/3/2007)

IAR

Virginia
(3/27/2024)

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: 7/14/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2003

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel A. Parkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Alfred Parkin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Alfred Parkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

NEWMAN LADD CAPITAL ADVISORS, LLC.

NEWMAN, LADD CAPITAL, INC.

JANNEY MONTGOMERY SCOTT LLC

TUCKER ANTHONY INCORPORATED

H.J. MEYERS & CO., INC.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2008

Series 63

Date: 10/8/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 24

Date: 12/18/2003

FINRA

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

Contact information

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