Amy W. Jones
Professional summary
Amy Ward Jones, who also goes by Amy M Klock, Amy Ward Klock, Amy Marie Ward, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Moravia, New York.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Amy has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Amy Ward Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Ward Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2018 - Present
LEIGH BALDWIN & CO., LLC
February 3, 2005 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035-0660August 24, 2001 - February 3, 2005
PINNACLE INVESTMENTS, INC.
June 30, 1999 - October 19, 1999
NEW ENGLAND SECURITIES
December 10, 1997 - June 24, 1999
IDS LIFE INSURANCE COMPANY
December 10, 1997 - June 24, 1999
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
(11/10/2011)
(5/18/2007)
(6/21/2022)
(2/15/2005)
(4/18/2024)
(9/13/2006)
(7/7/2022)
(7/22/2009)
(2/15/2005)
(2/3/2005)
(2/23/2021)
(2/15/2005)
(6/15/2009)
(2/15/2005)
(6/22/2022)
(1/2/2008)
(6/23/2022)
(2/15/2005)
(4/5/2005)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
