LB
Leigh D. Baldwin
LEIGH BALDWIN & CO.
Cazenovia, NY 13035
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CRD#: 1895333
LB
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 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leigh Baldwin
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.
MIDWESTERN SECURITIES TRADING COMPANY, LLC, 235 EVERETT STREET, EAST PEORIA, IL 61611; LEIGH'S ROLES WILL BE RELATING TO BUSINESS DEVELOPMENT, A DIRECTOR BUT NOT PART OF ACTIVE MANAGMENT, A STRATEGIC ALLIANCE DUE TO HIS EXPERIENCE AND KNOWLEDGE IN THE FINANCIAL SERVICES INDUSTRY. 1995: FIXED INSURANCE BUSINESS, NON INVESTMENT RELATED, 0-3 HRS/MONTH DURING MARKET HOURS, 100% OWNER. 1999: PART OWNER SYRACUSE CRUNCH HOCKEY TEAM, NON INVESTMENT RELATED, NO HOURS DURING MARKET OR NON/MARKET HOURS. 2018: MINORITY BENEFICIAL OWNER THROUGH CORP. OF GALAXY COMMUNICATIONS; NON INVESTMENT RELATED; 0 HOURS/DURING MARKET HOURS. 2024: BOARD MEMBER OF COMMUNITY MEMORIAL HOSPITAL; NO OWNERSHIP; NON INVESTMENT RELATED; 6 HRS/MONTH DURING NON MARKET HOURS
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 3, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035Office #2: 142 Cimarron Park Loop Ste F, Buda, TX 78610RIA
BD
CRD#: 38751
Cazenovia, NY
Current
August 21, 1995 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035Office #2: 142 Cimarron Park Loop Ste F, Buda, TX 78610RIA
BD
CRD#: 38751
Cazenovia, NY
Past
October 19, 2006 - October 15, 2007
NEWMAN, LADD CAPITAL, INC.
BD
CRD#: 38841
SYRACUSE, NY
Past
February 6, 2001 - January 3, 2011
HUSS SERVICES, INC.
BD
CRD#: 2258
CAZENOVIA, NY
Past
February 18, 2000 - January 8, 2001
NEWMAN, LADD CAPITAL, INC.
BD
CRD#: 38841
SYRACUSE, NY
Past
October 8, 1991 - April 16, 1996
CYGNET SECURITIES, INC.
BD
CRD#: 28686
WALDWICK, NJ
Past
May 26, 1989 - November 15, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(10/15/2021)
RR
Arizona(10/16/1997)
RR
Arkansas(12/11/2006)
RR
California(10/12/2010)
RR
Colorado(12/3/1997)
RR
Connecticut(7/25/1996)
IAR
Delaware(6/21/2022)
RR
Florida(5/6/1996)
IAR
Florida(2/10/2022)
RR
Georgia(9/15/1997)
IAR
Georgia(6/23/2022)
RR
Illinois(9/18/1997)
RR
Indiana(6/3/2005)
RR
Iowa(7/19/2005)
RR
Kentucky(1/27/2015)
RR
Maine(10/15/2021)
RR
Maryland(2/28/1996)
RR
Massachusetts(4/16/1996)
IAR
Massachusetts(11/13/2025)
RR
Minnesota(10/15/2021)
RR
Mississippi(1/28/2015)
RR
Missouri(8/14/2015)
RR
Nevada(4/19/1996)
RR
New Jersey(5/3/1996)
IAR
New Jersey(8/9/2021)
RR
New Mexico(7/20/2006)
RR
New York(7/31/1995)
IAR
New York(4/3/2021)
RR
North Carolina(9/16/1997)
RR
North Dakota(3/24/2008)
RR
Ohio(3/25/1996)
RR
Oregon(3/10/2022)
RR
Pennsylvania(6/3/1996)
RR
Rhode Island(9/17/1997)
RR
South Carolina(9/16/1997)
IAR
South Carolina(9/14/2021)
RR
South Dakota(1/27/2015)
RR
Tennessee(3/11/2014)
RR
Texas(9/24/2003)
RR
Utah(4/10/2012)
RR
Virginia(1/11/1996)
IAR
Virginia(7/13/2021)
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
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/23/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
Company Information
LEIGH BALDWIN & CO., LLC
CRD#: 38751Cazenovia, NY 13035TRUST BUT VERIFY
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