Benjamin George Baldwin, Jr.

Current Employers

Baldwin Financial Advisors, Llc

44 S Vail Ave, Suite 103, Arlington Heights, IL 60005 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	1997-09-12

IL RA
APPROVED

Since 1997-09-12

Branch Locations

Arlington Heights, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Baldwin Financial Systems, Inc	Arlington Heights	IL	06/1982	Present
Axa Advisors, Llc	New York	NY	09/1999	Present

06/1982 → Present

Baldwin Financial Systems, Inc

Arlington Heights, IL
09/1999 → Present

Axa Advisors, Llc

New York, NY

Previous Registrations

1993-03-31 → 2011-06-10

Equitable Advisors, Llc

Arlington Heights, IL

Other Businesses

BALDWIN FINANCIAL SYSTEMS, LLC - NON-INVESTMENT RELATED, FINANCIAL PLANNING; CONSULT, WRITE, SPEAK, EDUCATION AND EXPERT WITNESS WORK; MANAGING MEMBER; START: 06/1982, 90 HRS/MO, $2,500/MO. BEN G. BALDWIN - AUTHOR, TEACHER, WRITER; WRITER/CONSULTANT; START 06/1982, 70 HRS/MO, $600/MO.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-04-07
S63	Uniform Securities Agent State Law Examination	1987-12-14

S65 Uniform Investment Adviser Law Examination

1994-04-07
S63 Uniform Securities Agent State Law Examination

1987-12-14

Other Names

Ben Baldwin
Benjamin George Baldwin

View on SEC IAPD