Matthew K. Legrand
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Keith Legrand, who also goes by Matthew K Legrand, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - September 18, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - September 18, 2015
CAPITAL ONE INVESTING, LLC
February 24, 2010 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
May 31, 2008 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
April 27, 2004 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
October 1, 2003 - March 31, 2004
KESTRA INVESTMENT SERVICES, LLC
February 22, 2001 - October 29, 2002
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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