JB
Jill A. Bassett
LEIGH BALDWIN & CO.
Liverpool, NY 13090
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CRD#: 4447807
JB
Professional summary
Jill Ann Bassett, who also goes by Jill Ann Harzewski, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Liverpool, New York.
Jill is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jill has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jill Ann Harzewski
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.
2016: Long Term Care, Disability, Fixed Annuities and Life Insurance offered through various insurance companies. Medicare plans including Medicare supplements, advantage and Part D plans; non investment related; 100% owner/ self employed; 40 hours per week during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jill Ann Bassett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jill Ann Bassett'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®
NoneExperience
Current
April 6, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 181 Blackberry Rd Suite 8, Liverpool, NY 13090RIA
BD
CRD#: 38751
Liverpool, NY
Current
April 30, 2015 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 181 Blackberry Rd Suite 8, Liverpool, NY 13090RIA
BD
CRD#: 38751
Liverpool, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LB
LEIGH BALDWIN & CO., LLC
DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
RIA
Registered Investment Advisory firm - SEC (6/24/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
RR
New York(8/10/2015)
IAR
New York(4/6/2021)
RR
Pennsylvania(4/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LB
LEIGH BALDWIN & CO., LLC
DOLLAR INVESTMENT CLUB ("DINC") | SWAN SECURITIES, L.L.C. | LEIGH BALDWIN ADVISORY | LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
RIA
Registered Investment Advisory firm - SEC (6/24/2008 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
112 Albany Street, Cazenovia, NY 13035
Mailing Address
112 Albany Street, Cazenovia, NY 13035-0660
Phone number
(315) 655-2964
Established
Delaware since 01/31/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18
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.
Company Information
LEIGH BALDWIN & CO., LLC
CRD#: 38751Liverpool, NY 13090TRUST BUT VERIFY
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