Benjamin George Baldwin, Jr.

Employer firm

Baldwin Financial Advisors, LLC CRD 115734

85 advisory clients

Reported services (Item 5G)

Financial planning
Educational seminars

From the firm’s Form ADV. Read the guides:

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