Michael F. Legg
Professional summary
Michael Frederick Legg Sr., who also goes by Michael Frederick Legg Sr., Michael F Legg, Michael Frederick Legg, Mike Legg Sr., is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 13 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Frederick Legg Sr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 2025 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019February 24, 2022 - February 6, 2025
THE BENCHMARK COMPANY, LLC
August 24, 2020 - March 3, 2022
VYGR DIGITAL SECURITIES, LLC
August 29, 2019 - August 18, 2020
THE BENCHMARK COMPANY, LLC
January 5, 2015 - August 21, 2017
MIDTOWN PARTNERS
July 17, 2013 - December 2, 2013
H.C.WAINWRIGHT & CO., LLC
May 20, 2013 - July 22, 2013
ASCENDIANT CAPITAL MARKETS, LLC
March 7, 2012 - March 4, 2013
ROTH CAPITAL PARTNERS, LLC
April 25, 2011 - January 12, 2012
RODMAN & RENSHAW, LLC
July 22, 2010 - April 19, 2011
MERRIMAN CAPITAL, INC.
April 16, 2002 - April 24, 2003
JEFFERIES/QUARTERDECK, LLC
May 25, 2000 - April 24, 2003
JEFFERIES LLC
October 7, 1997 - May 16, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 5, 1995 - August 7, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2025)
(4/17/2025)
Exams
Series 62
Date: 1/4/1995
Corporate Securities Limited Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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