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Carlos J. Legaspy

PRECISE INVESTMENT MANAGEMENT
Chicago, IL
Some features on this profile are disabled
CRD#: 2148751
CL

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.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 2, 2016 - Present

PRECISE INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 282557
Chicago, IL
Current

October 13, 2021 - Present

INSIGHT SECURITIES, INC.

Office #1: 600 Central Ave. Suite 293, Highland Park, IL 60035Office #2: 600 Central Ave. Suite 293, Highland Park, IL 60035
RIA
BD
CRD#: 5611
Highland Park, IL
Current

February 12, 2020 - Present

INSIGHT SECURITIES, INC.

Office #1: 600 Central Ave. Suite 293, Highland Park, IL 60035Office #2: 600 Central Ave Suite 293, Highland Park, IL 60035
RIA
BD
CRD#: 5611
Highland Park, IL
Past

August 10, 2009 - September 5, 2019

INSIGHT SECURITIES, INC.

RIA
CRD#: 5611
Highland Park, IL
Past

January 24, 2003 - August 5, 2009

PRECISE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 123672
SAN DIEGO, CA
Past

June 20, 2002 - September 5, 2019

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
Highland Park, IL
Past

August 31, 1996 - July 15, 2002

INVESTMENT PLACEMENT GROUP

BD
CRD#: 14458
SAN DIEGO, CA
Past

July 5, 1991 - August 7, 1996

SERFIN SECURITIES,INC.

BD
CRD#: 16683
NEW YORK, NY

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 - (4/25/2022 Approved)
Arizona
Registered Investment Advisory firm - (8/2/2022 Terminated)
California
Registered Investment Advisory firm - (9/1/2022 Terminated)
Illinois
Registered Investment Advisory firm - (8/2/2022 Terminated)
Nevada
Registered Investment Advisory firm - (9/2/2022 Terminated)
Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
California
(9/20/2019)
RR
Illinois
(3/11/2020)
IAR
Illinois
(3/11/2020)
IAR
Texas
(2/9/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/14/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/29/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/26/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

CRD#: 282557 / SEC#: 801-124750

RIA
Registered Investment Advisory firm - (4/25/2022 Approved)
Arizona
Registered Investment Advisory firm - (8/2/2022 Terminated)
California
Registered Investment Advisory firm - (9/1/2022 Terminated)
Illinois
Registered Investment Advisory firm - (8/2/2022 Terminated)
Nevada
Registered Investment Advisory firm - (9/2/2022 Terminated)
Texas
Registered Investment Advisory firm - (8/2/2022 Terminated)
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Contact information

Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
Phone number
(702) 906-0940
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRECISE INVESTMENT MANAGEMENT - WRAP BROCHURE (9/25/2025)
PRECISE INVESTMENT MANAGEMENT, INC. (9/25/2025)

Regulatory assets under management

Total Number of Accounts39
AUM (Assets Under Management)$ 186,316,022

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.

Company Information

PRECISE INVESTMENT MANAGEMENT, INC.

CRD#: 282557Chicago, IL

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