Scott D. Baldwin

EMG

South Burlington, VT 05403

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CRD#: 2847135

Professional summary

Scott David Baldwin is a registered financial advisor currently at EMG located in South Burlington, Vermont and HAZARD & SIEGEL, INC. located in South Burlington, Vermont.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 5 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)1233 LLC SHELBURN RD, S. BURLINGTON, VT, START 1/2021, OWNER OF OFFICE SPACE,INVESTMENT RELATED-NO 1 HRS MONTHLY, O HRS DURING TRADING, 2)EMG RIA, VP, 40 HRS TRADING,40 HRS MONTH.,1996, 1233 SHELBBURN RD ,WORK WITH CLIENTS; 3)BURLINGTON PARKS FOUNDATION, BOARD MEMBER, NON-INVESTMENT RELATED, 3 HOURS DURING THE MONTH WITH 0 DURING TRADING HOURS, PARKS FOUNDATION BOARD HELPING TO RAISE MONEY FOR BURLINGTON PARKS, 6/2015; 4)ZG HOLDINGS LLC, 115 ST PAUL STREET BURLINGTON VT 05401, BREWERY FOR BEER, INVESTOR, 3/2017, 0 HOURS 5)HAZARD & SIEGEL, INC., INVESTMENT RELATED, 5793 WIDEWATERS PKWY, #3, SYRACUSE, NY 13214, REGISTERED REPRESENTATIVE,START DATE: 01/2010, 20 HRS/MTH, 20 DURING TRADING. 6)375 N AVE LLC, INVESTOR,INVESTMENT RELATED-NO, 0 HRS PER MONTH,0 HRS DURING TRADING HRS, INVESTOR IN REAL ESTATE LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott David Baldwin'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®

None

Experience

Current

January 1, 1998 - Present

EMG

Office #1: 1233 Shelburne Road Suite C-2b, South Burlington, VT 05403

RIA

CRD#: 116184

South Burlington, VT

Current

January 4, 2010 - Present

HAZARD & SIEGEL, INC.

Office #1: 1233 Shelburne Rd Suite C-2a, South Burlington, VT 05403

CRD#: 2048

South Burlington, VT

Past

January 30, 2002 - December 31, 2009

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

January 1, 1998 - December 31, 2006

EMG

RIA

CRD#: 116184

ESSEX JUNCTION, VT

Past

October 1, 1997 - December 31, 2001

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

March 21, 1997 - October 1, 1997

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

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.

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

IAR

Vermont
(1/1/1998)

Vermont
(2/4/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMG

EMG | ESSEX ASSET MANAGEMENT GROUP INC.

CRD#: 116184 / SEC#: 801-65131

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/27/2012 Approved)

Vermont

Registered Investment Advisory firm - (6/27/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1233 Shelburne Road Suite C-2b, South Burlington, VT 05403

Mailing Address

Phone number

(802) 879-1881

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	253
AUM (Assets Under Management)	$ 52,300,973

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.

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Scott D. Baldwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott David Baldwin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMG

HAZARD & SIEGEL, INC.

CADARET, GRANT & CO., INC.

EMG

AMERICAN GENERAL SECURITIES INCORPORATED

USLIFE EQUITY SALES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/20/1997

FINRA

Current Firm

EMG

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMG

TRUST BUT VERIFY

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