Harry W. Baldwin
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.
Harry W Baldwin IV, who also goes by Harry W Baldwin, Harry Webster Baldwin IV, Harry Webster Baldwin, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 2010. Harry had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2012 - July 11, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
November 27, 2012 - July 11, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
July 24, 2012 - November 20, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 19, 2012 - November 20, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 22, 2010 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2010 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2010 - September 23, 2010
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
