Regina LegatesCRD 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.
Wells Fargo Clearing Services, LLC
Lpl Financial LLC
Fidelity Personal And Workplace Advisors
|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|
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
Total Assets Under Management30MILLIONS
Total Number of Accounts205ACCOUNTS
Average Account Value$148,228
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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