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RL

Robert E. Leggat

Some features on this profile are disabled
CRD#: 2410269
RL

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.

Robert Elliott Leggat was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 30, 2020 - January 3, 2023

ICR CAPITAL LLC

BD
CRD#: 174952
NORWALK, CT
Past

January 7, 2016 - April 24, 2019

CFG CAPITAL MARKETS, LLC

BD
CRD#: 39468
BALTIMORE, MD
Past

May 6, 2014 - June 29, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOSTON, MA
Past

January 31, 2013 - May 19, 2014

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
BOSTON, MA
Past

May 10, 2006 - December 5, 2012

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
BOSTON, MA
Past

June 3, 2002 - May 16, 2006

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOSTON, MA
Past

March 1, 2002 - April 18, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

July 9, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 24, 1993 - December 12, 2000

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/14/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/9/2007
General Securities Principal Examination

Current Firm

IC
ICR CAPITAL LLC
ICR CAPITAL LLC

CRD#: 174952 / SEC#: , 8-69583

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
761 Main Avenue, Norwalk, CT 06851-1080
Mailing Address
761 Main Avenue, Norwalk, CT 06851-1080
Phone number
(203) 682-8200
Established
Connecticut since 12/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BLUE POINT INTERMEDIATE, LLCSOLE MEMBER
GRAY, BENJAMIN NMNCCO1946982
GRIMM, LINDA STEINMANNFINOP/PFO/POO1970620
MCDONALD, DOUGLAS JCEO6034863

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

ICR CAPITAL LLC

CRD#: 174952

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