Regina Legates, financial advisor Santa Clara CA

Regina Legates

CRD Number: 3007598
Current Firm: Figtree Financial Advisors, LLC

Regina Legates (CRD# 3007598) is an Investment Advisor Representative working at Figtree Financial Advisors, LLC in Santa Clara, CA and has over 24 years of experience in the finance industry.

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Fidelity Personal And Workplace Advisors
Company Name Location Dates Years
Figtree Financial Advisors, LLC Santa Clara, CA Apr 2019 - Current 3
Prosperity Financial Group, Inc. San Ramon, CA Jun 2017 - Apr 2019 1
Ameriprise Financial Services, Inc. Santa Clara, CA Sep 2005 - Jun 2017 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1998
S65 NASAA Investment Advisors Law Examination Dec 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Regina C. Legates
Phone Number: 408-891-3574
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    30
    MILLIONS
  • Total Number of Accounts
    205
    ACCOUNTS
  • Average Account Value
    $148,228
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Other
Types of Clients
Registered States

CA, TX

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