Jay Pomeranz
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.
Jay Pomeranz was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1975. Jay had worked at 16 firms and has passed the Series 65, Series 63, Series 79TO, SIE, PC, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2020 - November 2, 2023
LEIGH BALDWIN & CO., LLC
March 24, 2003 - November 2, 2020
KEDEM CAPITAL CORPORATION
October 31, 2001 - March 24, 2003
GOLDIS FINANCIAL GROUP, INC.
October 2, 1991 - November 5, 2001
JOSEPHTHAL & CO., INC.
February 20, 1990 - October 11, 1991
ADVEST, INC.
August 21, 1989 - February 22, 1990
LEHMAN BROTHERS INC.
March 28, 1988 - September 12, 1989
CIBC WORLD MARKETS CORP.
February 19, 1988 - April 11, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
April 1, 1987 - February 10, 1988
MOORE & SCHLEY, CAMERON & CO.
April 27, 1985 - April 14, 1987
WOODMERE SECURITIES, INC.
February 6, 1984 - August 22, 1984
UBS FINANCIAL SERVICES INC.
April 12, 1982 - February 13, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
March 27, 1981 - April 22, 1982
FINANCIAL SQUARE PARTNERS
April 29, 1980 - April 15, 1981
BUTCHER & SINGER INC.
April 9, 1979 - May 16, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1976 - April 22, 1979
CIBC WORLD MARKETS CORP.
October 1, 1975 - November 1, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 10/18/1989
AMEX Put and Call ExamSeries 5
Date: 10/29/1981
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.
