Richard Sokol

LEGACY CAPITAL GROUP LLC

Englewood, CO

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CRD#: 4829964

Professional summary

Richard Sokol is a registered financial advisor currently at LEGACY CAPITAL GROUP LLC located in Englewood, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Richard has worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

I AM ON THE BOARD OF DIRECTORS OF MEMOLINK, INC. MEMOLINK IS A PRIVATELY-HELD COMPANY. IT PROVIDES AND MANAGES AN INTERNET SHOPPING PORTAL. MEMOLINK'S ADDRESS IS: MEMOLINK, INC 2000 S COLORADO BLVD DENVER, CO 80222 I JOINED THE BOARD IN 2004. THE BOARD MEETS 2X PER YEAR, FOR APPROX. 3 HOURS PER MEETING. I ATTEND THESE MEETINGS DURING NON-BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sokol'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 2, 2007 - Present

LEGACY CAPITAL GROUP LLC

RIA

CRD#: 142705

Englewood, CO

Past

September 15, 2005 - May 18, 2007

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

DENVER, CO

Past

August 16, 2005 - May 18, 2007

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

DENVER, CO

Past

September 3, 2004 - June 2, 2005

KESEF FINANCIAL GROUP

RIA

CRD#: 132283

DENVER, CO

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

Colorado
(11/2/2007)

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

Series 63

Date: 8/27/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/26/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/14/2005

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 8/23/2005

Futures Managed Funds Examination

Current Firm

LEGACY CAPITAL GROUP LLC

LEGACY CAPITAL GROUP INC | LEGACY CAPITAL GROUP LLC

CRD#: 142705 / SEC#:

Colorado

Registered Investment Advisory firm - (11/2/2007 Approved)

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Contact information

Main Address

Englewood, CO

Mailing Address

Phone number

(720) 320-1047

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 2,867,504

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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Richard Sokol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sokol's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY CAPITAL GROUP LLC

SANFORD C. BERNSTEIN & CO., LLC

ALLIANCEBERNSTEIN L.P.

KESEF FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2005

Series 65

Date: 7/26/2004

Series 7

Date: 9/14/2005

Series 31

Date: 8/23/2005

Current Firm

LEGACY CAPITAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY CAPITAL GROUP LLC

TRUST BUT VERIFY

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