Michael D. Ross

LEIGH BALDWIN & CO.

Savannah, GA 31401

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CRD#: 5941473

Professional summary

Michael D Ross, who also goes by Michael D Ross, Michael D. Ross, is a registered financial professional currently at LEIGH BALDWIN & CO., LLC located in Savannah, Georgia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael D Ross | Michael D. Ross

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.

1. Independent Insurance Agent, Sole Proprietor, Start: 12/08/11, Savannah, GA, Insurance Agent, Not Investment related, 10 hour per month, 1 hour per day during trading hours. 2. T.R.U.E. Coastal Capital, LLC., Start Date: 11/13/2023, 21 East York St., Savannah, GA 31401, LLC, Registered Investment Adviser, Investment Advisory Representative, President and CFO, Manage investment accounts, give financial advisory advice, financial planning, Investment Related, 160 Hours per month, 6 Hours per day during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael D Ross'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

March 25, 2024 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 21 E York Street , Savannah, GA 31401

RIA

CRD#: 38751

Savannah, GA

Past

November 16, 2023 - October 20, 2025

T.R.U.E. COASTAL CAPITAL, LLC

RIA

CRD#: 281556

SAVANNAH, GA

Past

September 30, 2019 - December 13, 2023

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

Rochester, NY

Past

January 6, 2017 - September 30, 2019

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

Past

September 6, 2016 - March 26, 2024

MUTUAL SECURITIES, INC.

CRD#: 13092

Rochester, NY

Past

May 20, 2016 - September 2, 2016

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, NY

Past

May 16, 2016 - December 31, 2016

NORTHLANDING FINANCIAL PARTNERS, LLC

RIA

CRD#: 167055

ROCHESTER, NY

Past

September 5, 2013 - May 16, 2016

HIGH FALLS ADVISORS, INC.

RIA

CRD#: 108678

ROCHESTER, NY

Past

June 28, 2013 - May 23, 2016

LEIGH BALDWIN & CO., LLC

CRD#: 38751

ROCHESTER, NY

Past

August 22, 2011 - June 28, 2013

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, 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.

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

Florida
(3/25/2024)

Georgia
(3/25/2024)

Maine
(3/25/2024)

New York
(3/25/2024)

Pennsylvania
(3/25/2024)

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: 10/10/2011

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: 8/20/2011

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

Michael D. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael D Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

T.R.U.E. COASTAL CAPITAL, LLC

MUTUAL ADVISORS, LLC

NORTHLANDING FINANCIAL PARTNERS, LLC

MUTUAL SECURITIES, INC.

WALL STREET FINANCIAL GROUP, INC.

NORTHLANDING FINANCIAL PARTNERS, LLC

HIGH FALLS ADVISORS, INC.

LEIGH BALDWIN & CO., LLC

WALL STREET FINANCIAL GROUP, INC.

Primary Firm SEC Registration

LEIGH BALDWIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2011

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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