SL
Sonya K. Legg
CETERA INVESTMENT ADVISERS LLC
LAVONIA, GA 30553
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CRD#: 4278354
SL
Professional summary
Sonya Kay Legg, who also goes by Kay Legg, S. Kay Legg, Sonya Kay Paden, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lavonia, Georgia and CETERA WEALTH SERVICES, LLC located in Lavonia, Georgia.
Sonya is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sonya has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kay Legg | S. Kay Legg | Sonya Kay Paden
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. NAME OF OTHER BUSINESS: VARIOUS INSURANCE COMPANIES
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED BRANCH
NATURE OF BUSINESS: INSURANCE
POSITION/TITLE/RELATIONSHIP: AGENT
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, DISABILITY, ANNUITIES AND LTC
2. NAME OF OTHER BUSINESS: NONE
INVESTMENT RELATED: NO
ADDRESS: GEORGIA
NATURE OF BUSINESS: COUNTY GOVERNMENT
POSITION/TITLE/RELATIONSHIP: CANDIDATE FOR PROBATE JUDGE
START DATE: N/A
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: RUNNING FOR COUNTY PROBATE JUDGE;
3. CPA PLUS NETWORK - WORKS W/ CPA'S & HELP W/ TAX CLIENTS ON THE INVESTMENT SIDE; UNKNOWN HOURS PER WEEK. BRADFORD AND LEGG WEALTH MANAGEMENT (DBA).
4. NAME OF OTHER BUSINESS: SAVANNAH RIVER PRODUCTIONS
INVESTMENT RELATED: NO
ADDRESS: 86 S. FOREST AVENUE
NATURE OF BUSINESS: BOARD MEMBER
START DATE: 1/1/12
POSITION/TITLE/RELATIONSHIP: TREASURER
APX NUMBER OF HOURS PER WEEK: 5 HOURS
APX NUMBER OF HOURS DURING TRADING HOURS: N/A
BRIEF DESCRIPTION OF DUTIES: TREASURER
5. NAME OF OTHER BUSINESS: LEGG FAMILY INVESTMENTS
INVESTMENT RELATED: NO
ADDRESS: 170 LAKE FOREST DRIVE
NATURE OF BUSINESS: RENT BUSINESS OFFICES
START DATE: 1/1/12
POSITION/TITLE/RELATIONSHIP: MEMBER LLC
APX NUMBER OF HOURS PER WEEK: 1 HOUR
APX NUMBER OF HOURS DURING TRADING HOURS: N/A
BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL
6.NAME OF OTHER BUSINESS: SMARTVESTOR/DAVE RAMSEY ADVISER
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: DBA FOR MARKETING PROGRAM
START DATE: 3/2017
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF HOURS DURING TRADING HOURS: 10
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISER
BRIEF DESCRIPTION OF DUTIES: DBA
CRS (Client Relationship Summary) - RIA
Click below to view Sonya Kay Legg'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®
NoneExperience
Current
March 21, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 215 Hartwell Road, Lavonia, GA 30553RIA
CRD#: 105644
LAVONIA, GA
Current
January 16, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 215 Hartwell Road, Lavonia, GA 30553BD
CRD#: 13572
Lavonia, GA
Past
February 6, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
COMMERCE, GA
Past
January 19, 2006 - January 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATHENS, GA
Past
January 18, 2006 - January 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATHENS, GA
Past
January 10, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
ELBERTON, GA
Past
April 12, 2004 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
LYNNFIELD, MA
Past
April 12, 2004 - December 31, 2005
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
June 12, 2003 - February 19, 2004
WADDELL & REED
RIA
CRD#: 866
EDMOND, OK
Past
May 27, 2003 - February 19, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
January 4, 2002 - May 14, 2003
OFG FINANCIAL SERVICES, INC.
BD
CRD#: 23940
TOPEKA, KS
Past
December 8, 2000 - January 10, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 8, 2000 - January 10, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/16/2008)
RR
California(1/16/2008)
RR
Colorado(6/11/2024)
RR
Florida(1/25/2017)
RR
Georgia(1/16/2008)
IAR
Georgia(3/21/2023)
RR
Oklahoma(1/16/2008)
RR
South Carolina(3/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lavonia, GA 30553TRUST BUT VERIFY
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