James H. Legg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Horace Legg JR, who also goes by Jim Legg, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - May 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 18, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1999 - May 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 14, 1994 - April 1, 1999
ROBERT W. BAIRD & CO. INCORPORATED
September 4, 1990 - February 15, 1994
WELLS FARGO CLEARING SERVICES, LLC
January 4, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
January 26, 1984 - January 12, 1988
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/28/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
