Ethan I. Shiller

LEIGH BALDWIN & CO.

Cazenovia, NY 13035-0660

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CRD#: 5787064

Professional summary

Ethan Ira Shiller, who also goes by Ethan Shiller, is a registered financial professional currently at LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2010. Ethan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ethan Shiller

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) - BD

Click below to view Ethan Ira Shiller'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 15, 2016 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035-0660

RIA

CRD#: 38751

Cazenovia, NY

Past

July 28, 2016 - April 3, 2018

NORTHEAST FINANCIAL GROUP, INC.

RIA

CRD#: 122609

YARDLEY, PA

Past

July 6, 2016 - July 19, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

PHILADELPHIA, PA

Past

July 6, 2016 - July 19, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PHILADELPHIA, PA

Past

November 21, 2014 - July 1, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

PHILADELPHIA, PA

Past

November 21, 2014 - July 1, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PHILADELPHIA, PA

Past

June 29, 2010 - November 24, 2014

EDWARD JONES

RIA

CRD#: 250

YARDLEY, PA

Past

June 11, 2010 - November 24, 2014

EDWARD JONES

CRD#: 250

YARDLEY, PA

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.

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

California
(7/15/2016)

Delaware
(7/15/2016)

Florida
(7/15/2016)

New Jersey
(7/15/2016)

Pennsylvania
(7/15/2016)

Puerto Rico
(3/30/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/25/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2010

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)

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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

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.

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Firm Stability Insights

Ethan I. Shiller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ethan Ira Shiller's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHEAST FINANCIAL GROUP, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/10/2010

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

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