Richard D. 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.
Richard Davis Baldwin, who also goes by Richard Baldwin, Davis Baldwin, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2022. Richard had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2022 - January 20, 2026
KEEL POINT CAPITAL, LLC
February 18, 2022 - September 28, 2022
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/18/2022
General Securities Representative ExaminationCurrent Firm
KEEL POINT CAPITAL, LLC
CRD#: 6769 / SEC#: , 8-22990
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
Red Flags
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