Regina C. Legates

FIGTREE FINANCIAL ADVISORS

Santa Clara, CA 95054

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CRD#: 3007598

Professional summary

Regina Carbajal Legates is a registered financial advisor currently at FIGTREE FINANCIAL ADVISORS, LLC located in Santa Clara, California.

Regina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Regina has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. AGUSTINA CARBAJAL TRUST; NOT INVESTMENT-RELATED; 636 SAN MIGUEL AVENUE, SUNNYVALE, CA 94058; LIVING TRUST; TRUSTEE IN THE EVENT OF DEATH; 03/25/1999; APPROXIMATELY 0 HOURS PER MONTH; APPROXIMATELY 0 HOURS DURING TRADING HOURS; ASSUME TRUSTEE RELATED DUTIES IN THE EVENT OF HER DEATH 2. INDEPENDENT INSURANCE AGENT; INVESTMENT-RELATED; 1360 CHELSEA DR. LOS ALTOS, CA 94024; INSURANCE SALES; INSURANCE AGENT; INSURANCE AGENT FOR HEALTH, DISABILITY, LIFE INSURANCE, AND LONG TERM CARE FOR VARIOUS INSURANCE COMPANIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina Carbajal Legates'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®

None

Experience

Current

April 26, 2019 - Present

FIGTREE FINANCIAL ADVISORS, LLC

Office #1: 5201 Great America Parkway Suite 320, Santa Clara, CA 95054

RIA

CRD#: 301517

Santa Clara, CA

Past

June 21, 2017 - August 2, 2019

PROSPERITY FINANCIAL GROUP, INC.

RIA

CRD#: 145540

Santa Clara, CA

Past

February 11, 1999 - June 19, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CAMPBELL, CA

Past

April 2, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 2, 1998 - June 19, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CAMPBELL, CA

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

California
(4/26/2019)

IAR

Texas
(2/17/2022)

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

IAR

Series 65

Date: 12/28/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/1998

General Securities Representative Examination

Current Firm

FIGTREE FINANCIAL ADVISORS, LLC

FIGTREE FINANCIAL ADVISORS | FIGTREE FINANCIAL ADVISORS, LLC

CRD#: 301517 / SEC#: 801-115102

RIA

Registered Investment Advisory firm - (8/26/2019 Terminated)

California

Registered Investment Advisory firm - (8/22/2019 Approved)

Texas

Registered Investment Advisory firm - (2/17/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

5201 Great America Parkway Suite 320, Santa Clara, CA 95054

Mailing Address

Phone number

(408) 891-3574

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 29,121,264

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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Regina C. Legates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina Carbajal Legates's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIGTREE FINANCIAL ADVISORS, LLC

PROSPERITY FINANCIAL GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1998

Series 63

Date: 2/7/1998

SIE

Date: 6/19/2017

Series 7

Date: 3/31/1998

Current Firm

FIGTREE FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIGTREE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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