AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PK

Paul D. Kalman

LEIGH BALDWIN & CO.
Mandeville, LA
Some features on this profile are disabled
CRD#: 2168754
PK

Professional summary

Paul D Kalman, who also goes by Paul Dennis Kalman, is a registered financial professional currently at LEIGH BALDWIN & CO., LLC located in Mandeville, Louisiana.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1992. Paul has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Dennis Kalman

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) - BD

Click below to view Paul D Kalman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 3, 2021 - Present

LEIGH BALDWIN & CO., LLC

RIA
BD
CRD#: 38751
Mandeville, LA
Past

September 18, 2002 - August 2, 2021

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
METAIRIE, LA
Past

May 3, 1999 - August 2, 2021

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
METAIRIE, LA
Past

November 9, 1992 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
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.

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
(8/3/2021)
RR
Colorado
(3/13/2025)
RR
Connecticut
(3/13/2025)
RR
Florida
(8/3/2021)
RR
Georgia
(8/3/2021)
RR
Hawaii
(8/31/2022)
RR
Iowa
(8/3/2021)
RR
Louisiana
(8/3/2021)
RR
Mississippi
(8/3/2021)
RR
North Carolina
(8/3/2021)
RR
Texas
(8/3/2021)
RR
Virginia
(8/3/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/6/1992
Investment Company Products/Variable Contracts Representative Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
BALDWIN, LEIGH DOUGLASPRESIDENT / OWNER / MANAGING MEMBER/ CFO1895333
LEIGH BALDWIN & CO., INC.OWNER
DOROZYNSKI, STEFANIE LEECHIEF COMPLIANCE OFFICER4899201

Regulatory assets under management

Total Number of Accounts756
AUM (Assets Under Management)$ 285,522,208

Disclosures

Regulatory Event4
Arbitration1
Bond1

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#: 38751Mandeville, LA

TRUST BUT VERIFY

Monitor Paul Kalman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.