James S. Leggott

CORESTONE WEALTH MANAGEMENT LLC

Maple Grove, MN 55311

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CRD#: 2201650

Professional summary

James Steven Leggott, who also goes by Jim S Leggott, is a registered financial advisor currently at CORESTONE WEALTH MANAGEMENT LLC 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 7 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.

AMERICAN SENIOR BENEFITS; INVESTMENT RELATED; MAPLE GROVE, IL; INSURANCE SALES; REPRESENTATIVE; ACTIVITY BEGAN 05/2024; 100 HOURS PER MONTH TO THIS ACTIVIY ALL DURING TRADING HOURS; VARIOUS INSURANCE PRODUCT SALES. Brookstone Capital Management; Investment Related; Wheaton, IL; Investment Advisor Representative; 10/2019; Approximately 50% of his time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Steven Leggott'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®

None

Experience

Current

October 15, 2024 - Present

CORESTONE WEALTH MANAGEMENT LLC

Office #1: 7094 E. Fish Lake Rd., Maple Grove, MN 55311

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

CRD#: 14869

PLYMOUTH, MN

Past

January 7, 1992 - June 4, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

January 7, 1992 - June 4, 1992

PRUCO SECURITIES, LLC.

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
(10/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/5/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/24/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CORESTONE WEALTH MANAGEMENT LLC

CRD#: 315945 / SEC#:

Minnesota

Registered Investment Advisory firm - (12/3/2021 Approved)

Texas

Registered Investment Advisory firm - (3/21/2023 Conditional Restricted)

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Contact information

Main Address

7094 E. Fish Lake Rd., Maple Grove, MN 55311

Mailing Address

Phone number

(763) 559-8200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	484
AUM (Assets Under Management)	$ 69,000,000

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.

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Advisor Monitoring

Firm Stability Insights

James S. Leggott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Steven Leggott's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE CAPITAL MANAGEMENT LLC

SPECIALIZED ADVISORS

SECURE INVESTMENT MANAGEMENT, LLC

AMERITAS INVESTMENT COMPANY, LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2016

Series 63

Date: 1/23/2003

SIE

Date: 7/28/2015

Series 6

Date: 1/24/2003

Current Firm

CORESTONE WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORESTONE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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