John R. Shoemaker

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CRD#: 1929595

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.

John Reid Shoemaker JR was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1989. John had worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

October 24, 1995 - October 8, 2025

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

August 31, 1995 - September 22, 1995

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Past

December 1, 1993 - September 28, 1995

CYGNET SECURITIES, INC.

CRD#: 28686

WALDWICK, NJ

Past

January 4, 1993 - December 6, 1993

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

January 3, 1991 - December 31, 1992

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

March 21, 1989 - October 16, 1990

LEHMAN BROTHERS INC.

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".

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

Series 63

Date: 4/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/24/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

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

John R. Shoemaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

CYGNET SECURITIES, INC.

KEY INVESTMENTS INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/1989

SIE

Date: 10/1/2018

Series 3

Date: 4/24/1989

Series 7

Date: 3/18/1989

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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