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180 South Clinton Ave Suite 300, Rochester, NY 14604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-04 |
Branch Locations
180 South Clinton Ave Suite 300, Rochester, NY 14604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| High Falls Advisors, Inc. | Rochester | NY | 04/2003 | Present |
| Leigh Baldwin & Co., Llc | Cazenovia | NY | 06/2013 | 12/2017 |
| Leigh Baldwin & Co., Llc | Cazenovia | NY | 08/2019 | Present |
(1) REGISTERED REPRESENTATIVE OF LEIGH BALDWIN & CO., 112 ALBANY STREET, CAZENOVIA, NY. 1-5 HOURS PER WEEK DURING TRADING HOURS. (OBA to IA) (2) CO-TRUSTEE. ASSISTS CO-TRUSTEE IN COORDINATING FINANCIAL AND PERSONAL AFFAIRS. NO ACCESS TO CHECK WRITING, HOWEVER, NAMED CO-TRUSTEE. 4 HOURS PER MONTH. 4 HOURS DURING TRADING. RECEIVES TRUSTEE FEE. (3) ANNUITY/INSURANCE SALES AGENT. COMMISSION BASED COMPENSATION. IDENTIFIES AND RECOMMENDS PRODUCT SOLUTIONS. 2-4 HOURS PER MONTH, 2-4 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-17 |
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