RL
Robert A. Leggett
WEALTHSHIELD PARTNERS
Cary, NC 27518
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CRD#: 3192764
RL
Professional summary
Robert Alexander Leggett III, CFP®, who also goes by Robert A (iii) Leggett, Robert Alexander Leggett III, Robert Alexander Leggett, is a registered financial advisor currently at WEALTHSHIELD PARTNERS, LLC located in Cary, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Robert has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert A (iii) Leggett | Robert Alexander Leggett Iii | Robert Alexander Leggett
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) ORGPAG LLC, INVESTMENT RELATED WEALTH MANAGEMENT RIA STARTED 11/2019. NO INVOLVEMENT OR TITLE OTHER THAN 50% OWNER OF HOLDINGCOMPANY THAT HAS AN INTEREST OF 24.5% OF LLC. 2) DIO MANAGEMENT LLC-16% OWNER OF HEDGE FUND WHICH HAS NO INVESTORS AT THIS TIME. HAVE NOTITLE AND WILL SPEND NO TIME ON THIS BUSINESS. 3) WEALTHSHIELD INSURANCE LLC. INVESTMENT RELATED, AFFILIATED WITH WEALTHSHIELD PARTNERS LLC AND UTILIZED IN CONNECTION WITH THE SALE OF INSURANCE PRODUCTS. 2500 REGENCY PARKWAY, CARY, NC 27518. 50% OWNER. START DATE OF RELATIONSHIP 2019. 10 HOURS PER YEAR DEVOTED TO THIS BUSINESS. 10 HOURS PER YEAR DEVOTED DURING SECURITIES TRADING HOURS. BIYEARLY CE AND NO OTHER ACTIVE DUTIES. 4) IGM BROKERAGE. INVESTMENT RELATED; LIMITED SCOPE BROKER DEALER. 300 E MAIN STREET, SUITE a, CARMEL, INDIANA 46032. PASSIVE OWNER, NO TITLE, NO CLIENT ASSETS IN IGM. START DATE OF RELATIONSHIP 2022. ZERO HOURS DEVOTED PER MONTH TO THE OTHER BUSINESS AND ZERO HOURS DEVOTED PER MONTH DURING TRADING HOURS. NO DUTIES RELATED TO OTHER BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alexander Leggett III'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®
Start date: 2000
Experience
Current
January 22, 2014 - Present
WEALTHSHIELD PARTNERS, LLC
Office #1: 2500 Regency Parkway, Cary, NC 27518RIA
CRD#: 169584
Cary, NC
Past
April 8, 2020 - September 24, 2020
COMPASS SECURITIES CORPORATION
BD
CRD#: 16168
BRAINTREE, MA
Past
March 19, 2018 - March 31, 2023
WEALTHSHIELD LLC
RIA
CRD#: 288875
CARY, NC
Past
January 6, 2014 - March 27, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
CARY, NC
Past
June 30, 2006 - December 23, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
RALEIGH, NC
Past
June 30, 2006 - December 23, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
RALEIGH, NC
Past
April 15, 2002 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CARY, NC
Past
April 7, 1999 - July 5, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARY, NC
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".
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
Registered Investment Advisory firm - (12/17/2013 Approved)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
North Carolina(1/22/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
Registered Investment Advisory firm - (12/17/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2500 Regency Parkway, Cary, NC 27518
Mailing Address
Phone number
(919) 948-4453
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,596 |
| AUM (Assets Under Management) | $ 1,080,417,121 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEALTHSHIELD PARTNERS, LLC
CRD#: 169584Cary, NC 27518TRUST BUT VERIFY
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