Leigh Douglas Baldwin
Professional Summary
Leigh Douglas Baldwin, who also goes by Leigh Baldwin, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Cazenovia, New York. Leigh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Leigh has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 3, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Leigh Baldwin
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC
Contact Information
Main Address
112 Albany Street, Cazenovia, NY 13035Mailing Address
112 Albany Street, Cazenovia, NY 13035-0660Phone Number
(315) 655-2964Established
Delaware since 01/31/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
16SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
986AUM (Assets Under Management)
$290,629,757Disclosures
Regulatory Event
4Arbitration
1Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC
State Registrations and Notice Filings
(10/15/2021)
(10/16/1997)
(12/11/2006)
(10/12/2010)
(12/3/1997)
(7/25/1996)
(6/21/2022)
(5/6/1996)
(2/10/2022)
(9/15/1997)
(6/23/2022)
(9/18/1997)
(6/3/2005)
(7/19/2005)
(1/27/2015)
(10/15/2021)
(2/28/1996)
(4/16/1996)
(11/13/2025)
(10/15/2021)
(1/28/2015)
(8/14/2015)
(4/19/1996)
(5/3/1996)
(8/9/2021)
(7/20/2006)
(7/31/1995)
(4/3/2021)
(9/16/1997)
(3/24/2008)
(3/25/1996)
(3/10/2022)
(6/3/1996)
(9/17/1997)
(9/16/1997)
(9/14/2021)
(1/27/2015)
(3/11/2014)
(9/24/2003)
(4/10/2012)
(1/11/1996)
(7/13/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Leigh Douglas Baldwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leigh Douglas Baldwin's CRS (Customer Relationship Summary).
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