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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Legaspi is a financial advisor with Oppenheimer & Co. Inc. Michael has been in the financial services industry since 2009. Michael has a wide range of experience in the financial services industry, having worked at firms such as Wells Fargo Clearing Services, LLC, J.P. Morgan Securities LLC, and Chase Investment Services Corp. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 6, and Series 63 licenses. Michael is also a registered investment advisor (IA). Michael provides a variety of financial services to individuals and businesses, including financial planning, portfolio management, and retirement planning.
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.
Guidance on pension options to ensure a secure financial future.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
10/26/2018 - Present
Oppenheimer & Co. Inc. (NEWPORT BEACH CA)
CA
12/12/2014 - 10/30/2018
WELLS FARGO CLEARING SERVICES, LLC (TORRANCE CA)
CA
10/01/2012 - 01/05/2015
J.P. MORGAN SECURITIES LLC (REDONDO BEACH CA)
CA
12/21/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN PEDRO CA)
CA
10/06/2004 - 12/16/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IA
Issued 04/27/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/11/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2011
Series 7 - General Securities Representative Examination
BC
Issued 12/19/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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