Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Javier Legaspy is a Registered Investment Advisor (RIA) in California, Illinois, and Texas. Carlos has been a registered representative for over 30 years, and has experience working with high net worth individuals, corporations and other businesses, and individuals other than high net worth. Carlos currently works at Insight Securities, Inc. and Precise Investment Management, Inc. Carlos offers a variety of services, including financial planning, portfolio management for businesses and individuals, and selection of other advisors. Carlos also holds the Series 63, 65, 24, 53, 52TO, 99TO, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IL
10/13/2021 - Present
Insight Securities, Inc. (HIGHLAND PARK IL)
IL
06/20/2002 - 09/05/2019
INSIGHT SECURITIES, INC. (Highland Park IL)
CA
08/31/1996 - 07/15/2002
INVESTMENT PLACEMENT GROUP (SAN DIEGO CA)
NY
07/05/1991 - 08/07/1996
SERFIN SECURITIES,INC. (NEW YORK NY)
IA
Issued 01/14/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/13/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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