Thomas L. Canino
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.
Thomas Leroy Canino, who also goes by Tom Canino, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1965. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2012 - November 21, 2016
LEIGH BALDWIN & CO., LLC
December 19, 2007 - March 28, 2012
OMNIVEST, INC.
January 1, 1999 - December 18, 2007
FORTA FINANCIAL GROUP, INC.
September 30, 1994 - December 18, 2007
FORTA FINANCIAL GROUP, INC.
October 4, 1990 - September 20, 1994
A. G. EDWARDS & SONS, INC.
September 26, 1978 - October 1, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
January 14, 1975 - February 2, 1977
E. F. HUTTON & COMPANY INC
October 12, 1971 - August 18, 1975
B.C. CHRISTOPHER SECURITIES CO.
July 16, 1965 - November 13, 1971
DUPONT WALSTON, INCORPORATED
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 7/15/1965
Registered Representative ExaminationCurrent 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.
