NC
Nicholas J. Colarossi
LEIGH BALDWIN & CO.
Clarks Summit, PA 18411
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CRD#: 2351611
NC
Professional summary
Nicholas John Colarossi, who also goes by Nick Colarossi, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Clarks Summit, Pennsylvania.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Nicholas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Colarossi
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.
2003: NJC Investments, DBA all Investment related business; 100 owner/ president; 40+ hours during trading hours per week. 11/2013: FIXED INSURANCE SALES; 1 HR/MONTH DURING NON TRADING HOURS; NON INVESTMENT RELATED. 2/2014: EXECUTOR AND TRUSTEE TO JOHN R. MCHUGH TRUST UNDER WILL 2/28/14; 5 HRS/MONTH SPENT ON ACTIVITY; INVESTMENT RELATED ACCOUNTS HELD AT THE BD. 8/2014: RADIO TALK SHOW REGARDING INVESTING AND FINANCE; BOLD GOLD MEDIA; 4 HR/WEEK 1/HR DURING MARKET HOURS; NO OWNERSHIP; INVESTMENT RELATED. 12/2021: Board Member Flight Systems Inc; NO OWNERSHIP; NO INVESTMENT DECISION MAKING AS BOARD MEMBER; 7-12 HRS/YEAR DURING NON TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas John Colarossi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas John Colarossi'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
March 16, 2018 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 281 East Grove Street, Clarks Summit, PA 18411RIA
BD
CRD#: 38751
Clarks Summit, PA
Current
June 20, 2003 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 281 East Grove Street, Clarks Summit, PA 18411RIA
BD
CRD#: 38751
Clarks Summit, PA
Past
June 23, 1993 - June 4, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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
California(8/25/2014)
RR
Delaware(8/23/2023)
RR
Florida(10/20/2003)
RR
Maine(6/20/2003)
RR
Maryland(8/19/2010)
RR
Massachusetts(5/30/2014)
RR
Michigan(4/9/2014)
RR
Montana(5/14/2012)
RR
Nevada(8/10/2021)
RR
New Hampshire(1/19/2017)
RR
New York(1/20/2017)
RR
North Carolina(12/6/2010)
RR
Pennsylvania(6/20/2003)
IAR
Pennsylvania(3/16/2018)
RR
South Carolina(6/20/2003)
IAR
South Carolina(4/17/2025)
RR
Texas(1/31/2020)
RR
Virginia(12/2/2010)
RR
Washington(4/1/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
