Brent A. Westbrook

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CRD#: 4600400

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.

Brent Allen Westbrook was a registered financial professional .

Brent is a previously registered financial professional and started their career in finance in 2002. Brent had worked at 5 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 21, 2014 - July 29, 2015

LEGACY WEALTH MANAGEMENT INC

RIA

CRD#: 108619

MEMPHIS, TN

Past

November 30, 2005 - January 28, 2008

AMSOUTH ASSET MANAGEMENT, INC.

RIA

CRD#: 111554

MEMPHIS, TN

Past

June 16, 2005 - November 30, 2005

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

BIRMINGHAM, AL

Past

March 31, 2005 - November 29, 2005

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

MEMPHIS, TN

Past

December 17, 2002 - March 30, 2005

COASTAL SECURITIES, INC.

CRD#: 27834

HOUSTON, TX

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".

LEGACY WEALTH MANAGEMENT INC

CRD#: 108619 / SEC#: 801-18073

RIA

Registered Investment Advisory firm - (12/23/1982 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/21/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/16/2002

General Securities Representative Examination

Current Firm

LEGACY WEALTH MANAGEMENT INC

CRD#: 108619 / SEC#: 801-18073

RIA

Registered Investment Advisory firm - (12/23/1982 Approved)

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Contact information

Main Address

1715 Aaron Brenner Dr. Suite 301, Memphis, TN 38120-1443

Mailing Address

Phone number

(901) 758-9006

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY WEALTH MANAGEMENT ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	4,507
AUM (Assets Under Management)	$ 2,358,678,962

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
04/22/2024	Cover Page	Report
01/30/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Brent A. Westbrook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMSOUTH ASSET MANAGEMENT, INC.

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

COASTAL SECURITIES, INC.

Primary Firm SEC Registration

LEGACY WEALTH MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/2014

Series 66

Date: 6/15/2005

Series 63

Date: 1/3/2003

Series 7

Date: 12/16/2002

Current Firm

LEGACY WEALTH MANAGEMENT INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEGACY WEALTH MANAGEMENT INC

TRUST BUT VERIFY

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