Daniel P. Duffy

LEIGH BALDWIN & CO.

Syracuse, NY 13219

Some features on this profile are disabled

CRD#: 5770435

Professional summary

Daniel Patrick Duffy, who also goes by Daniel P Duffy, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Syracuse, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel P Duffy

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.

SELL LIFE, ACCIDENT, HEALTH AND FIXED AND VARIABLE ANNUITIES WITH VARIOUS COMPANIES; NON INVESTMENT RELATED; MINIMAL HOURS SPENT DURING MARKET HOURS; 100% OWNERSHIP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Patrick Duffy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Patrick Duffy'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

November 30, 2020 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 2717 Bellevue Ave Suite 6, Syracuse, NY 13219

RIA

CRD#: 38751

Syracuse, NY

Current

November 24, 2020 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 2717 Bellevue Ave Suite 6, Syracuse, NY 13219

RIA

CRD#: 38751

Syracuse, NY

Past

January 8, 2018 - November 12, 2020

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

SOLVAY, NY

Past

February 24, 2016 - December 31, 2017

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

SOLVAY, NY

Past

November 18, 2014 - November 12, 2020

CADARET, GRANT & CO., INC.

CRD#: 10641

SOLVAY, NY

Past

June 11, 2012 - November 19, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

CANASTOTA, NY

Past

June 11, 2012 - November 19, 2014

LPL FINANCIAL LLC

CRD#: 6413

CANASTOTA, NY

Past

April 21, 2011 - January 3, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DEWITT, NY

Past

January 19, 2011 - January 3, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DEWITT, NY

Past

May 10, 2010 - July 29, 2010

MORGAN STANLEY

CRD#: 149777

SYRACUSE, 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".

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)

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.

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

IAR

New Jersey
(11/30/2020)

New York
(11/24/2020)

IAR

New York
(2/25/2021)

Texas
(4/5/2021)

IAR

Texas
(5/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/20/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/7/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (13 States and Territories)

FINRA licenses (52 States and Territories)

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

Name	Position	CRD#
BALDWIN, LEIGH DOUGLAS	PRESIDENT / OWNER / MANAGING MEMBER/ CFO	1895333
LEIGH BALDWIN & CO., INC.	OWNER
DOROZYNSKI, STEFANIE LEE	CHIEF COMPLIANCE OFFICER	4899201

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.

Similar Advisors

Benjamin Stroh

PFS INVESTMENTS INC.

IAR

Skaneateles, NY

Roman Auerbach

EQUITABLE ADVISORS, LLC

Syracuse, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel P. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Patrick Duffy's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Patrick Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/20/2011

Series 63

Date: 3/7/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2010

FINRA

Current Firm

LEIGH BALDWIN & CO., LLC

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LEIGH BALDWIN & CO., LLC

TRUST BUT VERIFY

Similar Advisors