Kenneth C. Grainger
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.
Kenneth Charles Grainger, who also goes by Casey Grainger, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1977. Kenneth had worked at 7 firms and has passed the Series 63, Series 15, 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
January 3, 2006 - September 30, 2013
LEIGH BALDWIN & CO., LLC
September 26, 1996 - February 21, 2006
LONGVIEW FINANCIAL GROUP, INC
October 12, 1991 - June 24, 1996
JOSEPHTHAL & CO., INC.
December 14, 1988 - October 18, 1991
JJC SECURITIES CO., INC.
September 22, 1986 - December 3, 1988
EVANS & CO., INC.
April 25, 1985 - September 10, 1986
KIDDER, PEABODY & CO. INCORPORATED
June 1, 1977 - May 10, 1985
CITIGROUP GLOBAL MARKETS 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 15
Date: 12/30/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/14/1981
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.
