CL
Carlos J. Legaspy
PRECISE INVESTMENT MANAGEMENT
Chicago, IL
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CRD#: 2148751
CL
Carlos Javier LegaspyPRECISE INVESTMENT MANAGEMENT
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.
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Javier Legaspy's 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®
NoneExperience
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 60035RIA
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 60035RIA
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
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)Loading...
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)
Regulatory assets under management
| Total Number of Accounts | 39 |
| 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.
