Robert W. Kawa
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.
Robert Walter Kawa JR, who also goes by Bob Kawa Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2019 - November 26, 2019
LEIGH BALDWIN & CO., LLC
April 25, 2018 - April 2, 2019
CADARET, GRANT & CO., INC.
September 12, 2012 - July 7, 2016
KEY INVESTMENT SERVICES LLC
March 11, 2010 - August 9, 2011
NEW ENGLAND SECURITIES
January 28, 2008 - December 1, 2009
AUGUSTAR DISTRIBUTORS, INC.
September 3, 2007 - November 2, 2007
GUARDIAN INVESTOR SERVICES LLC
July 27, 2006 - February 26, 2007
HSBC SECURITIES (USA) INC.
July 25, 2006 - February 26, 2007
HSBC SECURITIES (USA) INC.
July 16, 2001 - June 27, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 16, 2000 - June 15, 2001
MORGAN STANLEY DW INC.
September 13, 1999 - July 31, 2000
BOFA DISTRIBUTORS, INC.
March 12, 1999 - September 16, 1999
KEYPORT FINANCIAL SERVICES CORP.
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.
