AB
Alan C. Baldwin
LEIGH BALDWIN & CO.
Cazenovia, NY 13035
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CRD#: 6544193
AB
Professional summary
Alan Christopher Baldwin, CFA is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alan 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
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Christopher Baldwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Christopher Baldwin's 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®
Experience
Current
January 8, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035Office #2: Liberty Square 100 East Seneca Street Suite 200, Manlius, NY 13104RIA
BD
CRD#: 38751
Cazenovia, NY
Current
January 8, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: 112 Albany Street, Cazenovia, NY 13035Office #2: Liberty Square 100 East Seneca Street Suite 200, Manlius, NY 13104RIA
BD
CRD#: 38751
Cazenovia, NY
Past
July 14, 2017 - December 31, 2020
RIVERFRONT INVESTMENT GROUP, LLC
RIA
CRD#: 146221
RICHMOND, VA
Past
July 10, 2017 - December 31, 2020
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
RICHMOND, VA
Past
April 25, 2017 - June 29, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
Andover, MA
Past
September 20, 2016 - June 29, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
ANDOVER, MA
Past
August 13, 2015 - September 13, 2016
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, 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".
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
IAR
Florida(6/30/2021)
IAR
Georgia(4/17/2025)
IAR
Massachusetts(7/7/2022)
RR
New Jersey(1/8/2021)
IAR
New Jersey(1/13/2021)
RR
New York(1/8/2021)
IAR
New York(2/25/2021)
IAR
North Carolina(9/21/2021)
RR
Pennsylvania(1/8/2021)
IAR
Pennsylvania(1/8/2021)
IAR
Virginia(7/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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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)
FINRA licenses (52 States and Territories)
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.
Company Information
LEIGH BALDWIN & CO., LLC
CRD#: 38751Cazenovia, NY 13035TRUST BUT VERIFY
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