SM
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
4 advisors
Number of Clients
100 clients
Average Client Portfolio
$622K average
Assets Under Management
$62.2M
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing background information on the firm's advisors.
Areas of Practice
Investment Management
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Advisor Information
Office location
281 E. Grove St, Clarks Green, PA, 18411
Get directionsRegulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2015Settled
Customer Dispute
August 2015Settled
Customer Dispute
June 2015Settled
Other Business ActivitiesSells Insurance
Stephen receives rental income as a building owner, dedicating minimal time. He also spends minimal time on fixed insurance and a non-profit website.
Employment History
Current Registrations
Stone Securities INC.
June 2012 - Present · 13 yrs 7 mos
Leigh Baldwin & Co., LLC
September 1999 - Present · 26 yrs 4 mos
Leigh Baldwin & Co., LLC Broker
September 1999 - Present · 26 yrs 4 mos
Previous Registrations
Huss Services, INC.Broker
February 2004 - October 2010 · 6 yrs 8 mos
Stone Securities, INC
December 2003 - December 2006 · 3 yrs
Prudential Securities IncorporatedBroker
February 1997 - September 1999 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
July 1994 - February 1997 · 2 yrs 7 mos
Wheat, First Securities, INC.Broker
January 1991 - July 1994 · 3 yrs 6 mos
Butcher & Singer INC.Broker
October 1990 - January 1991 · 3 mos
Dean Witter Reynolds INC.Broker
February 1981 - October 1990 · 9 yrs 8 mos
First Jersey Securities, INC.Broker
December 1980 - April 1981 · 4 mos
State Registrations15 states
CTDEFLGAMAMDMINCNHNJNYPATXVAWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.