Graham M. Ritchie

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CRD#: 1936743

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.

Graham Mackay Ritchie, who also goes by Graham Mackay Ritchie Jr, was a registered financial professional .

Graham is a previously registered financial professional and started their career in finance in 1989. Graham had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Graham Mackay Ritchie Jr

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

March 11, 2013 - February 13, 2015

LEIGH BALDWIN & CO., LLC

CRD#: 38751

LIVERPOOL, NY

Past

October 26, 2011 - March 8, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

EAST SYRACUSE, NY

Past

January 11, 2010 - July 20, 2010

HUSS SERVICES, INC.

CRD#: 2258

FAYETTEVILLE, NY

Past

March 19, 2003 - April 22, 2008

HUSS SERVICES, INC.

CRD#: 2258

FAYETTEVILLE, NY

Past

June 5, 2002 - August 27, 2008

LEIGH BALDWIN & CO., LLC

CRD#: 38751

FAYETTEVILLE, NY

Past

October 18, 2001 - June 6, 2002

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

June 2, 2000 - December 3, 2001

PITTSFORD CAPITAL MARKETS, INC

CRD#: 36406

PITTSFORD, NY

Past

May 8, 2000 - June 6, 2002

CLAYTON LOWELL, & CONGER INC

CRD#: 44343

NEW WOODSTOCK, NY

Past

December 22, 1998 - July 14, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 20, 1997 - November 19, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

March 4, 1992 - October 28, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 17, 1989 - September 21, 1990

BNY SECURITIES, INC.

CRD#: 19712

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

IAR

Series 65

Date: 1/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/13/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/5/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/24/1997

Registered Options Principal 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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Advisor Monitoring

Firm Stability Insights

Graham M. Ritchie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

HUSS SERVICES, INC.

HUSS SERVICES, INC.

LEIGH BALDWIN & CO., LLC

RIDGEWAY & CONGER, INC.

PITTSFORD CAPITAL MARKETS, INC

CLAYTON LOWELL, & CONGER INC

NEW ENGLAND SECURITIES

FSC SECURITIES CORPORATION

NEW ENGLAND SECURITIES

BNY SECURITIES, INC.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/1998

Series 63

Date: 3/20/1992

SIE

Date: 2/13/2015

Series 7

Date: 3/2/1992

Series 24

Date: 3/27/2014

Series 53

Date: 10/5/2001

Series 4

Date: 12/24/1997

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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