Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Leggate has been in the financial services industry since 2004. Douglas is currently registered with Wolfe Research Securities in New York, NY. Prior to this, Douglas was registered with BOFA SECURITIES, INC. in Houston, TX, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in Houston, TX, HOWARD WEIL INCORPORATED in New Orleans, LA, and CITIGROUP GLOBAL MARKETS INC. in New York, NY. Douglas is licensed to sell securities in New York and Texas. Douglas holds the Series 63, Series 10, Series 24, SIE, Series 86, Series 87, and Series 7 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.
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.
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2
NY
06/17/2024 - Present
Wolfe Research Securities (New York NY)
TX
05/10/2019 - 06/13/2024
BOFA SECURITIES, INC. (HOUSTON TX)
TX
10/29/2009 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
LA
01/09/2009 - 10/21/2009
HOWARD WEIL INCORPORATED (NEW ORLEANS LA)
NY
12/04/2003 - 06/18/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 02/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/25/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/14/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/02/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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