Frederick R. Ogborne
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.
Frederick Ronald Ogborne, who also goes by Frederick Ronald II Ogborne, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1994. Frederick had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2010 - November 5, 2013
LEIGH BALDWIN & CO., LLC
January 3, 2005 - November 19, 2010
ASHTON THOMAS SECURITIES, LLC
September 8, 2004 - December 16, 2004
WALL STREET FINANCIAL GROUP, INC.
February 2, 2004 - December 16, 2004
WALL STREET FINANCIAL GROUP, INC.
December 10, 2002 - January 27, 2004
LH ROSS & COMPANY, INC.
September 30, 2002 - December 10, 2002
J.P. TURNER & COMPANY, L.L.C.
May 11, 2001 - April 17, 2003
SCHNEIDER SECURITIES, INC.
January 3, 2001 - September 30, 2002
SCHNEIDER SECURITIES, INC.
June 8, 1998 - January 3, 2001
FSC SECURITIES CORPORATION
July 21, 1994 - June 8, 1998
IDS LIFE INSURANCE COMPANY
July 21, 1994 - June 8, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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.
