MS
Mary S. Swan
LEIGH BALDWIN & CO.
Manlius, NY 13104
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CRD#: 6610800
MS
Professional summary
Mary Stuart Swan, who also goes by Mary Swan, Mary Swan Braverman, is a registered financial advisor currently at LEIGH BALDWIN & CO., LLC located in Manlius, New York.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Mary has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Swan | Mary Swan Braverman
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.
9/2018- Board Member Girls on the Run Upstate NY; help with fundraising and organize event, non investment related; 20-30 hrs/year, aprox 10 hrs/year during market hours; no ownership. 4/2021- Teaching night courses at MainLine School Night (web); non investment related, though investment topics are covered; aprox 10 hrs per year during non market hours; no ownership. 5/2023- Board Member Manlius Pebble Hill School; review budget/ school activities; non investment related; 1-5 hrs/month, aprox 1-2/ month during market hours; no ownership.
CRS (Client Relationship Summary) - RIA
Click below to view Mary Stuart Swan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mary Stuart Swan'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®
NoneExperience
Current
January 15, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: Liberty Square 100 East Seneca Street Suite 200, Manlius, NY 13104RIA
BD
CRD#: 38751
Manlius, NY
Current
January 15, 2021 - Present
LEIGH BALDWIN & CO., LLC
Office #1: Liberty Square 100 East Seneca Street Suite 200, Manlius, NY 13104RIA
BD
CRD#: 38751
Manlius, NY
Past
October 19, 2017 - December 9, 2020
MORGAN STANLEY
RIA
CRD#: 149777
SYRACUSE, NY
Past
October 19, 2017 - December 9, 2020
MORGAN STANLEY
BD
CRD#: 149777
SYRACUSE, NY
Past
March 25, 2017 - May 30, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SYRACUSE, NY
Past
March 25, 2017 - August 22, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SYRACUSE, NY
Past
May 23, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NEWTOWN SQUARE, PA
Past
February 16, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEWTOWN SQUARE, 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".
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
RR
New York(1/15/2021)
IAR
New York(2/25/2021)
RR
Ohio(1/15/2021)
RR
Pennsylvania(1/15/2021)
IAR
Pennsylvania(1/15/2021)
Exams
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LEIGH BALDWIN & CO., LLC
CRD#: 38751Manlius, NY 13104TRUST BUT VERIFY
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