# LEIGH BALDWIN & CO., LLC

LEIGH BALDWIN & CO., LLC of CAZENOVIA, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 38751
- Type: SEC-registered investment adviser
- SEC file number: 801-69290
- Location: 112 ALBANY STREET, CAZENOVIA, NY, 13035
- Phone: 315-655-2964
- Latest filing: 2026-05-19
- Regulatory AUM: $290.6M
- Discretionary AUM: $290.6M
- Clients: 16
- Accounts: 986

## Business model

- Compensation: % of AUM, Other
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| Leigh Douglas Baldwin | OWNER; PRESIDENT / OWNER / MANAGING MEMBER/ CFO | — |
| Stefanie Lee Dorozynski | CHIEF COMPLIANCE OFFICER | — |
| BALDWIN LEIGH DOUGLAS | OWNER; PRESIDENT / OWNER; PRESIDENT / OWNER / MANAGING MEMBER (+1 more) | — |
| HALLIGAN SHARON RISLEY | CHIEF COMPLIANCE OFFICER; FINANCIAL OPERATIONS PRINCIPAL | — |
| DOROZYNSKI STEFANIE LEE | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (12)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2010-11-29 | regulatory | NASD RULES 2110, 3010, 6955(A) - LEIGH BALDWIN & CO., LLC FAILED TO TIMELY REPORT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS); TRANSMITTED EXECUTION REPORTS TO OATS THAT THE OATS SYSTEM WAS UNABLE TO LINK TO THE RELATED TRADE REPORT IN THE NASD TRADE REPORTING SYSTEM DUE TO… | Final | $10K |
| 1999-01-14 | regulatory | STATE OF ALABAMA ALLEGED UNLICENSED ACTIVITY BEYOND TRANSACTIONS DISCLOSED IN THE APPLICATION. A CEASE AND DESIST ORDER WAS ENTERED ON 1/14/99, AND A CONSENT ORDER JUNE 1999. | Final | $2K |
| 1997-09-16 | regulatory | THE STATE OF ILLINOIS ALLEGED TRANSACTIONS IN CLIENTS ACCOUNTS PRIOR TO BROKER/DEALERS REGISTRATION IN THAT STATE. | Final | $2K |
| 1997-07-10 | regulatory | NEW HAMPSHIRE ALLEGES UNLICENSED ACTIVITY PRIOR TO REGISTRATION IN THE STATE. | Final | $3K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/38751/brochure
- Similar advisers: https://search.stillhousedata.com/firm/38751/similar
- Related entities: https://search.stillhousedata.com/firm/38751/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/38751

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.