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DL

David B. Legacy

BLACKROCK INVESTMENTS
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 4379849
DL

Professional summary

David B Legacy, who also goes by Dave Legacy, David Brian Legacy Jr, David Brian Legacy Jr., David Brian Legacy, is a registered financial professional currently at BLACKROCK INVESTMENTS, LLC located in Boston, Massachusetts.

David is registered as a RR (Registered Representative) and started their career in finance in 2002. David has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Legacy | David Brian Legacy Jr | David Brian Legacy Jr. | David Brian Legacy

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David B Legacy'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

November 29, 2021 - Present

BLACKROCK INVESTMENTS, LLC

Office #1: 60 State Street Floors 19 & 20, Boston, MA 02109
BD
CRD#: 38642
BOSTON, MA
Past

May 17, 2018 - November 23, 2021

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

December 8, 2017 - April 19, 2018

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 144426
BRAINTREE, MA
Past

August 28, 2017 - April 19, 2018

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

October 10, 2016 - August 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LINCOLN, RI
Past

August 22, 2016 - August 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LINCOLN, RI
Past

October 26, 2015 - August 2, 2016

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

June 3, 2008 - December 5, 2013

RIDGEWOOD SECURITIES CORPORATION

BD
CRD#: 15453
MONTVALE, NJ
Past

February 29, 2008 - May 20, 2008

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
SIMSBURY, CT
Past

December 19, 2005 - February 29, 2008

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

March 15, 2002 - February 4, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Massachusetts
(11/29/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/2002
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: 11/18/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/14/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BLACKROCK INVESTMENTS, LLC
BFM ADVISORY, INC. | PROVIDENT ADVISORS, INC. | PROVIDENT ADVISERS, INC. | BLACKROCK INVESTMENTS, LLC | BLACKROCK INVESTMENTS, INC.

CRD#: 38642 / SEC#: , 8-48436

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
50 Hudson Yards, New York, NY 10001
Mailing Address
1 University Square Drive, Princeton, NJ 08540
Phone number
(609) 282-3046
Established
Delaware since 10/21/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLACKROCK FINANCIAL MANAGEMENT, INCSOLE SHAREHOLDER107105
DEVICO, JOSEPH GEORGEMANAGER2808563
HEROLD, MEREDITH LMANAGER4792340
MARCUS, ZACHARY SETHCHIEF FINANCIAL OFFICER AND FINOP7040433
MARO, JONATHAN MARTINCHIEF EXECUTIVE OFFICER AND MANAGER6476640
MEADE, CHRISTOPHER JOSEPHCHIEF LEGAL OFFICER6728448
ROHE, DOMINIKMANAGER3275040
ROSTA, GREGORY MATTHEWCHIEF COMPLIANCE OFFICER5193482
RZOMP, CYNTHIA SUEN-WAHCHIEF OPERATING OFFICER5221316
VILLACORTA, ROLAND ESTEBANMANAGER2566073

Disclosures

Regulatory Event2
Arbitration1

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

BLACKROCK INVESTMENTS, LLC

CRD#: 38642Boston, MA 02109

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