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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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EF

Erich Fradenburg

LEIGH BALDWIN & CO.
Cazenovia, NY 13035-0660
Some features on this profile are disabled
CRD#: 5334520
EF

Professional summary

Erich Fradenburg, who also goes by Erich P Fradenburg, Erich Paul Fradenburg, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.

Erich is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Erich has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Erich P Fradenburg | Erich Paul Fradenburg

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erich Fradenburg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Erich Fradenburg's CRS (Customer Relationship Summary).
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

July 23, 2025 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035-0660
RIA
BD
CRD#: 38751
Cazenovia, NY
Current

July 23, 2025 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035-0660
RIA
BD
CRD#: 38751
Cazenovia, NY
Past

January 3, 2022 - July 22, 2025

CW ADVISORS, LLC

RIA
CRD#: 310873
BOSTON, MA
Past

November 4, 2020 - December 15, 2021

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

February 25, 2020 - August 24, 2020

ALGORITHMIC INVESTMENT MODELS

RIA
CRD#: 306354
NEEDHAM, MA
Past

June 14, 2018 - February 12, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SHARON, MA
Past

June 14, 2018 - February 12, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SHARON, MA
Past

October 17, 2011 - May 25, 2018

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

August 23, 2010 - May 25, 2018

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA

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
Arizona
(8/14/2025)
RR
Colorado
(8/18/2025)
RR
New Jersey
(7/23/2025)
IAR
New Jersey
(7/23/2025)
IAR
New York
(7/23/2025)
RR
New York
(8/17/2025)
IAR
Pennsylvania
(7/23/2025)
RR
Pennsylvania
(8/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/13/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/16/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/20/2010
Investment Company Products/Variable Contracts Representative Examination
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A 3.2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
BALDWIN, LEIGH DOUGLASPRESIDENT / OWNER / MANAGING MEMBER/ CFO1895333
LEIGH BALDWIN & CO., INC.OWNER
DOROZYNSKI, STEFANIE LEECHIEF COMPLIANCE OFFICER4899201

Regulatory assets under management

Total Number of Accounts756
AUM (Assets Under Management)$ 285,522,208

Disclosures

Regulatory Event4
Arbitration1
Bond1

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#: 38751Cazenovia, NY 13035-0660

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