Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BRENDAN RICHARD TOOMEY SR
CRD#: 2195420
IA
B
TOOMEY INVESTMENT MANAGEMENT, INCCRD#: 127346 420 CENTER STREET
1ST FLOOR
WALLINGFORD, CT 06492
1ST FLOOR
WALLINGFORD, CT 06492
LEIGH BALDWIN & CO., LLCCRD#: 38751 420 CENTER STREET FL 1
WALLINGFORD, CT 06492
WALLINGFORD, CT 06492
View By:
8/25/2003
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 5/3/2019
IA
New Hampshire 10/23/2019
B
Connecticut 1/3/2011
B
New Jersey 1/3/2011
IA
Connecticut 5/29/2019
B
New York 1/3/2011
B
Florida 1/3/2011
B
North Carolina 12/19/2024
IA
Florida 6/27/2019
IA
South Carolina 10/23/2019
B
Georgia 9/12/2018
IA
Texas 10/23/2019
IA
Massachusetts 8/27/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/29/2019
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/10/2012 - 12/31/2018 | WALLINGFORD, CT | |
IA | 06/27/2012 - 12/31/2014 | WALLINGFORD, CT | |
B | 06/27/1995 - 12/31/2010 | WALLINGFORD, CT | |
B | 11/29/1991 - 07/21/1995 | BOSTON, MA |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.