LM
Linda J. Mcanelly
LEIGH BALDWIN & CO.
Liverpool, NY 13090
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CRD#: 1777493
LM
Professional summary
Linda Joan Mcanelly, CFP®, who also goes by Linda Joan Warren, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Liverpool, New York.
Linda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Linda has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Linda Joan Warren
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.
1990: Long Term Care, Disability, Fixed Annuities and Life Insurance offered through various Insurance Companies. 6/10: Appointed as an Arbitrator for FINRA Dispute Resolution, investment related and no activity at this time. 9/10: Medicare Plans offered including Medicare Supplement Plans, Medicare Advantage Plans and Prescription Drug Plans (Part D) ; non investment related. Plans are offered on a needs basis through various insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view Linda Joan Mcanelly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Linda Joan Mcanelly'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®
CFP®
Start date: 2006
Experience
Current
April 3, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 181 Blackberry Rd Suite 8, Liverpool, NY 13090RIA
BD
CRD#: 38751
Liverpool, NY
Current
January 26, 1998 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 181 Blackberry Rd Suite 8, Liverpool, NY 13090RIA
BD
CRD#: 38751
Liverpool, NY
Past
March 17, 1994 - January 29, 1998
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 29, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
January 29, 1988 - October 9, 1992
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, 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".
LB
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)BD
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.RR
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
RR
Florida(12/3/1999)
RR
Georgia(7/8/2008)
RR
Massachusetts(4/7/2021)
RR
Minnesota(3/27/2020)
RR
New Hampshire(3/17/2014)
RR
New Jersey(8/2/2022)
RR
New York(1/26/1998)
IAR
New York(4/3/2021)
RR
North Carolina(2/23/2016)
RR
Ohio(12/3/2012)
RR
Vermont(3/14/2023)
RR
Virginia(10/27/2014)
RR
Washington(8/2/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LB
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)BD
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
18
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LEIGH BALDWIN & CO., LLC
CRD#: 38751Liverpool, NY 13090TRUST BUT VERIFY
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