MW
Michael A. Woltman
LEIGH BALDWIN & CO.
Cazenovia, NY 13035
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CRD#: 2001619
MW
Professional summary
Michael Alvin Woltman, who also goes by Michael A Woltman, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael A Woltman
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.
1/2000: Fixed Insurance licensed as needed; non investment related; no ownership. 9/2015: Community Memorial Hospital Endowment Board; fund raising; 2 hrs/month, 0 during trading hours; no ownership, non investment related 1/2016: HAMILTON EMERALD ASSOCIATION; NON PROFIT BOARD, INVESTMENT RELATED, NO OWNERSHIP, 2 HRS/MONTH 1/2016: SAINT JAMES FINANCE COMMITTEE; CHURCH; 1 HR/MONTH, NO OWNERSHIP; INVESTMENT RELATED. 5/2021: Treasurer Cazenovia Tennis Club; 4 hrs/month, 0 during market hours; no ownership; non investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Alvin Woltman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Alvin Woltman'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
January 5, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035Office #2: 112 Albany Street, Cazenovia, NY 13035RIA
BD
CRD#: 38751
Cazenovia, NY
Current
August 31, 1995 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035RIA
BD
CRD#: 38751
Cazenovia, NY
Past
September 6, 1994 - September 28, 1995
CYGNET SECURITIES, INC.
BD
CRD#: 28686
WALDWICK, NJ
Past
January 20, 1992 - September 9, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 21, 1989 - January 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arizona(11/12/2014)
RR
Connecticut(6/19/1997)
RR
District of Columbia(6/24/2005)
RR
Florida(6/20/1997)
IAR
Florida(4/17/2025)
RR
Illinois(1/26/1998)
RR
Maryland(6/19/1997)
RR
Massachusetts(6/19/1997)
RR
New Jersey(6/19/1997)
RR
New York(8/31/1995)
IAR
New York(7/26/2021)
RR
North Carolina(11/1/2023)
RR
Ohio(6/23/1997)
RR
Pennsylvania(6/19/1997)
IAR
Pennsylvania(1/5/2021)
RR
Rhode Island(11/1/2023)
RR
South Carolina(11/1/2023)
RR
Texas(1/14/2016)
RR
Virginia(6/19/1997)
IAR
Virginia(6/21/2022)
RR
Wisconsin(11/12/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 38751Cazenovia, NY 13035TRUST BUT VERIFY
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Contact information
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