Regina LegatesCRD Number: 3007598
Current Firm: Prosperity Financial Group, Inc.
Regina Legates (CRD# 3007598) is an Investment Advisor Representative working at Prosperity Financial Group, Inc. in Santa Clara, CA and has over 20 years of experience in the finance industry.
Skyoak Wealth Management, Inc.
Three Bell Capital LLC
Parker Investment Management, LLC
|Prosperity Financial Group, Inc.||San Ramon, CA||Jun 2017 - Current||< 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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management130MILLIONS
Total Number of Accounts881ACCOUNTS
Average Account Value$147,560
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)