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Carlos Javier Legaspy

PRECISE INVESTMENT MANAGEMENT
Chicago, IL
·CRD# 2148751·35 years experience

Professional Summary

Carlos Javier Legaspy is a registered financial advisor currently at PRECISE INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois and INSIGHT SECURITIES, INC. located in Highland Park, Illinois. Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Carlos has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

PRECISE INVESTMENT MANAGEMENT, INC.·CRD# 282557
RIA
Chicago, IL
May 2, 2016 - Present
INSIGHT SECURITIES, INC.·CRD# 5611
RIA
BD
1. 600 Central Ave. Suite 293, Highland Park, IL 600352. 600 Central Ave. Suite 293, Highland Park, IL 60035
October 13, 2021 - Present
INSIGHT SECURITIES, INC.·CRD# 5611
RIA
BD
1. 600 Central Ave. Suite 293, Highland Park, IL 600352. 600 Central Ave Suite 293, Highland Park, IL 60035
February 12, 2020 - Present
INSIGHT SECURITIES, INC.·CRD# 5611
RIA
Highland Park, IL
August 10, 2009 - September 5, 2019
PRECISE INVESTMENT MANAGEMENT, LLC·CRD# 123672
RIA
San Diego, CA
January 24, 2003 - August 5, 2009
INSIGHT SECURITIES, INC.·CRD# 5611
BD
Highland Park, IL
June 20, 2002 - September 5, 2019
INVESTMENT PLACEMENT GROUP·CRD# 14458
BD
San Diego, CA
August 31, 1996 - July 15, 2002
SERFIN SECURITIES,INC.·CRD# 16683
BD
New York, NY
July 5, 1991 - August 7, 1996

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Current Firm

PI
PRECISE INVESTMENT MANAGEMENT, INC.

PRECISE INVESTMENT MANAGEMENT, INC. | PRECISE MANAGEMENT, INC.

CRD#: 282557 / SEC#: 801-124750
RIA
Registered Investment Advisory firm - SEC (4/25/2022 Approved)
Arizona
Registered Investment Advisory firm - Arizona (8/2/2022 Terminated)
California
Registered Investment Advisory firm - California (9/1/2022 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (8/2/2022 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (9/2/2022 Terminated)
Texas
Registered Investment Advisory firm - Texas (8/2/2022 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone Number

(702) 906-0940

# of Employees

8

SEC notice filing (6 States and Territories)

Registered to provide investment advisory services in 6 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRECISE INVESTMENT MANAGEMENT - WRAP BROCHURE (9/29/2026)

Regulatory Assets Under Management

Total Number of Accounts

80

AUM (Assets Under Management)

$349,228,104

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)Have registered the company Precise Holdings, Inc. in order to possibly manage property. Currently no income is generated through this business and the time spent per month is incidental. 2)Currently hold the position of "Certified Co-Leader" with the ManKind Project. This is a non for profit peer support group that I help to manage retreats for. This is approx one weekend every two months and I receive approx. 3,000 in compensation annually. 3)Precise Investment Management- Started in September 2019 and is located at 600 Central Ave in Highland Park, IL. This is a Registered Investment Advisor and I am an advisor of this company. This is a securities related company and I devote approximately 5 hours per month, all during trading hours. 4) Precise Consulting- This is located in Highland Park, IL. This is non-investment related and I am an officer of this company. 5) Insurance Agent - time spent less than 10 hours a month. 6) There is no company name, Carlos is writing a book / books, his address is 7017 N Greenview Ave, Chicago, IL 60626, it is not investment related and there is no investment advice given in the book, he will be the author of the book and plans on spending about 3 hrs a month on the writing of the book as well as any activity related to publishing and promoting the book. 7) Devon Bank, is investment related, located at 6445 North Western Ave, Chicago, IL 60645, working as a board member, meeting once a month to to guiding and supervising the management team, starting in 01/2025, working 6hrs per month.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PRECISE INVESTMENT MANAGEMENT, INC.

PRECISE INVESTMENT MANAGEMENT, INC. | PRECISE MANAGEMENT, INC.

CRD#: 282557 / SEC#: 801-124750
RIA
Registered Investment Advisory firm - SEC (4/25/2022 Approved)
Arizona
Registered Investment Advisory firm - Arizona (8/2/2022 Terminated)
California
Registered Investment Advisory firm - California (9/1/2022 Terminated)
Illinois
Registered Investment Advisory firm - Illinois (8/2/2022 Terminated)
Nevada
Registered Investment Advisory firm - Nevada (9/2/2022 Terminated)
Texas
Registered Investment Advisory firm - Texas (8/2/2022 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
IAR
California
(9/20/2019)
RR
Illinois
(3/11/2020)
IAR
Illinois
(3/11/2020)
IAR
Texas
(2/9/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1991About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1991About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Mar 2003About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jun 1994About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Carlos Javier Legaspy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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