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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Brian Louis Headrick

Brian L. Headrick

LEGEND PRIVATE WEALTH
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 2819845
Brian Louis Headrick

Professional summary

Brian Louis Headrick, CFP®, who also goes by Brian L Headrick, is a registered financial advisor currently at LEGEND PRIVATE WEALTH, LLC located in Charlotte, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brian has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brian L Headrick

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.
MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Louis Headrick'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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Current

May 18, 2020 - Present

LEGEND PRIVATE WEALTH, LLC

Office #1: 15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277
RIA
CRD#: 308639
Charlotte, NC
Past

August 10, 2007 - May 21, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Charlotte, NC
Past

July 21, 1997 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

July 21, 1997 - May 21, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Charlotte, NC

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
Illinois
(5/22/2020)
IAR
North Carolina
(6/1/2020)
IAR
Ohio
(7/28/2025)
IAR
Texas
(5/18/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/1/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/18/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 12
Date: 12/30/1999
NYSE Branch Manager Examination

Current Firm

LP
LEGEND PRIVATE WEALTH, LLC
LEGEND PRIVATE WEALTH | LEGEND PRIVATE WEALTH, LLC

CRD#: 308639 / SEC#:

Illinois
Registered Investment Advisory firm - (5/22/2020 Approved)
North Carolina
Registered Investment Advisory firm - (6/1/2020 Approved)
Ohio
Registered Investment Advisory firm - (2/13/2025 Approved)
Texas
Registered Investment Advisory firm - (4/13/2020 Conditional Restricted)
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Contact information

Main Address
15720 Brixham Hill Avenue Suite 300, Charlotte, NC 28277
Mailing Address
Phone number
(704) 577-8159
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts156
AUM (Assets Under Management)$ 65,000,000

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.

Company Information

LEGEND PRIVATE WEALTH, LLC

CRD#: 308639Charlotte, NC 28277

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