Harley A. Thompson
Professional summary
Harley Alyn Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harley is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Harley had worked at 6 firms, which includes LEIGH BALDWIN & CO. LLC, RIDGEWAY & CONGER INC., CETERA ADVISORS LLC, MORGAN STANLEY DW INC., FLAGSHIP SECURITIES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2006 - June 20, 2012
LEIGH BALDWIN & CO., LLC
July 14, 2006 - October 25, 2006
RIDGEWAY & CONGER, INC.
March 7, 2001 - July 27, 2006
CETERA ADVISORS LLC
April 3, 1996 - March 6, 2001
MORGAN STANLEY DW INC.
March 18, 1996 - March 25, 1996
MORGAN STANLEY DW INC.
July 12, 1993 - March 28, 1996
FLAGSHIP SECURITIES, INC.
January 18, 1993 - June 14, 1993
EDWARD JONES
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
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.
