Brian E. Legg

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CRD#: 2495127

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.

Brian Etherton Legg was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 5 firms and has passed the Series 63, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

January 19, 2010 - August 7, 2015

EFS ASSET MANAGEMENT LLC

RIA

CRD#: 106184

DALLAS, TX

Past

March 16, 2006 - March 27, 2008

MILLENCO LLC

CRD#: 33726

NEW YORK, NY

Past

June 25, 1998 - February 24, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 22, 1995 - September 30, 1996

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 7, 1994 - June 21, 1994

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

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".

EFS ASSET MANAGEMENT LLC

BELMONT ADVISORS, INC. | FIVE KEYS CAPITAL ADVISORS INC. | EFS ASSET MANAGEMENT LLC | BELMONT GLOBAL ADVISORS, INC. | BELMONT GLOBAL ADVISORS

CRD#: 106184 / SEC#: 801-37873

RIA

Registered Investment Advisory firm - (12/7/1990 Approved)

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.

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

Series 63

Date: 6/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 7/7/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 6/6/1994

General Securities Representative Examination

Current Firm

EFS ASSET MANAGEMENT LLC

BELMONT ADVISORS, INC. | FIVE KEYS CAPITAL ADVISORS INC. | EFS ASSET MANAGEMENT LLC | BELMONT GLOBAL ADVISORS, INC. | BELMONT GLOBAL ADVISORS

CRD#: 106184 / SEC#: 801-37873

RIA

Registered Investment Advisory firm - (12/7/1990 Approved)

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Contact information

Main Address

2608 Hibernia St. Suite 104, Dallas, TX 75204

Mailing Address

Phone number

(214) 550-0914

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A MARCH 12, 2025 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 60,018,287

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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Brian E. Legg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EFS ASSET MANAGEMENT LLC

MILLENCO LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JPMSI

DICKINSON & CO.

Primary Firm SEC Registration

EFS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/1994

Series 87

Date: 7/7/2004

Series 7

Date: 6/6/1994

Current Firm

EFS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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