Sammy D. Legaspi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sammy Dexter Legaspi, who also goes by Sam Legaspi, was a registered financial advisor .
Sammy is a previously registered financial advisor and started their career in finance in 1993. Sammy had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2011 - September 6, 2016
ACCELERATED CAPITAL GROUP
February 4, 2004 - October 26, 2005
NEWPORT COAST SECURITIES, INC.
February 14, 2003 - January 8, 2004
CAPSTONE INVESTMENTS
April 7, 2000 - February 26, 2003
UBS FINANCIAL SERVICES INC.
March 16, 2000 - February 26, 2003
UBS FINANCIAL SERVICES INC.
April 7, 1997 - March 22, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 8, 1993 - April 23, 1997
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ACCELERATED CAPITAL GROUP
CRD#: 41270 / SEC#: , 8-49347
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEVENS, JODI KAYE | ASSIGNEE FOR STRONGBOW/CCO | 7028802 |
Disclosures
| Regulatory Event | 3 |
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.
