Business Description

By being a truly independent advisor, I can help your reach your short and long term planning goals. Independence means that I represent you first and for most, and I have your goals at mind. The ability to access all of the major resources I can tailor a plan suited for all of your needs.

General Information

Gender:

Male

CRD#:

4406786

Firm CRD#:

30999

Insurance License#:

332994

Name of Broker/Dealer:

Legend Equities

States Licensed in:

PA, WV, OH

States Willing to do Business in:

PA, WV, OH

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

I have been in the finacial services business for the last 6 years, and I have over 11 years experience in the insurance industry.

I work with the following types of clients:

Non-Profit Organizations, Individual Investors, Businesses

Services

Investment Types:

Variable Insurance Products, Mutual Funds, Insurance, Annuities

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Investment Advisor (RIA) (State or SEC) or RIA representative

Securities Licenses:

Series 6, Series 65, Series 63

Insurance and Annuity Licenses:

Disability, Long Term Care, Variable Annuity, Variable Life, Life, HMO, Health, Annuity, Accident

Firm Information

Number of Advisors in Office:

Up to 10 employees

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

Compensation Methods:

Flat Fee, Hourly, Commissions

Prepared By:

Sam Coccia

Most Recent Update:

09/08/2008