Geoffrey I. Henderson
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.
Geoffrey Ivan Henderson, who also goes by Geoff Henderson, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1980. Geoffrey had worked at 7 firms and has passed the Series 63, Series 5, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - November 28, 2012
LEIGH BALDWIN & CO., LLC
November 7, 1988 - March 28, 2012
OMNIVEST, INC.
September 26, 1988 - October 15, 1988
JOHN G. KINNARD AND COMPANY, INCORPORATED
June 28, 1984 - September 27, 1988
B. J. LEONARD AND COMPANY, INC.
November 9, 1983 - June 15, 1984
BLINDER, ROBINSON & CO., INC.
May 25, 1982 - May 12, 1983
MORGAN STANLEY DW INC.
October 24, 1980 - May 10, 1982
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
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.
