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JL

James S. Leggott

ASCENT ADVISORS
Maple Grove, MN 55311
Some features on this profile are disabled
CRD#: 2201650
JL

Professional summary

James Steven Leggott, who also goes by Jim S Leggott, is a registered financial advisor currently at ASCENT ADVISORS located in Maple Grove, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jim S Leggott

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 James Steven Leggott'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

December 10, 2025 - Present

ASCENT ADVISORS

Office #1: 7094 East Fish Lake Rd, Maple Grove, MN 55311
RIA
CRD#: 335353
Maple Grove, MN
Past

October 15, 2024 - December 31, 2025

CORESTONE WEALTH MANAGEMENT LLC

RIA
CRD#: 315945
MAPLE GROVE, MN
Past

November 1, 2019 - February 5, 2025

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA
CRD#: 141413
Plymouth, MN
Past

March 12, 2019 - October 22, 2019

SPECIALIZED ADVISORS

RIA
CRD#: 299308
Wayzata, MN
Past

February 11, 2016 - March 11, 2019

SECURE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 141195
Minnetonka, MN
Past

January 27, 2003 - July 28, 2015

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
PLYMOUTH, MN
Past

January 7, 1992 - June 4, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

January 7, 1992 - June 4, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

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.

Highlighted states indicate IAR registrations

IAR
Minnesota
(12/10/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/5/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/23/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/24/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AA
ASCENT ADVISORS
ASCENT ADVISORS | ASCENT FINANCIAL ADVISORS LLC | ASCENT FINANCIAL ADVISORS | ASCENT ADVISORS LLC

CRD#: 335353 / SEC#: 801-134543

RIA
Registered Investment Advisory firm - (12/3/2025 120-Day Approval)
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Contact information

Main Address
1600 Madison Avenue Suite 103, Mankato, MN 56001
Mailing Address
Phone number
(952) 444-3100
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (2 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

FORM ADV PART 2A - ASCENT ADVISORS (9/11/2025)
0

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

ASCENT ADVISORS

CRD#: 335353Maple Grove, MN 55311

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