Beau M. Toth

LEGACY CAPITAL WEALTH PARTNERS

Palatine, IL

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CRD#: 5389119

Professional summary

Beau M Toth is a registered financial advisor currently at LEGACY CAPITAL WEALTH PARTNERS, LLC located in Palatine, Illinois and SEXTANT SECURITIES, LLC located in New York, New York.

Beau is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Beau has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Beau M Toth's CRS (Customer Relationship Summary).

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

August 7, 2023 - Present

LEGACY CAPITAL WEALTH PARTNERS, LLC

RIA

CRD#: 291960

Palatine, IL

Current

January 26, 2024 - Present

SEXTANT SECURITIES, LLC

Office #1: 600 Madison Avenue 17th Floor, New York, NY, 10022

CRD#: 283937

New York, NY

Past

June 14, 2022 - January 26, 2024

SEXTANT SECURITIES, LLC

CRD#: 283937

New York, NY

Past

June 6, 2020 - June 22, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

PALATINE, IL

Past

June 6, 2020 - June 22, 2022

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 27, 2018 - March 4, 2020

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

September 30, 2013 - September 18, 2018

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

CHICAGO, IL

Past

March 8, 2013 - September 18, 2018

NEUBERGER BERMAN BD LLC

CRD#: 2908

CHICAGO, IL

Past

January 4, 2011 - February 25, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 13, 2010 - October 25, 2010

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

January 7, 2008 - September 18, 2009

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

WAYNE, PA

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 CAPITAL WEALTH PARTNERS, LLC

CRD#: 291960 / SEC#: 801-112442

RIA

Registered Investment Advisory firm - (2/12/2018 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.

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

IAR

Illinois
(8/7/2023)

New York
(1/26/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY CAPITAL WEALTH PARTNERS, LLC

CRD#: 291960 / SEC#: 801-112442

RIA

Registered Investment Advisory firm - (2/12/2018 Approved)

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Contact information

Main Address

8315 Cantrell Road Suite 200, Little Rock, AR 72227

Mailing Address

Phone number

(501) 376-7878

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY CAPITAL WEALTH PARTNERS, LLC WRAP FEE BROCHURE (3/24/2025)

LEGACY CAPITAL WEALTH PARTNERS, LLC - ADV PART 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	2,548
AUM (Assets Under Management)	$ 1,317,812,779

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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Beau M. Toth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Beau M Toth's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEXTANT SECURITIES, LLC

SEXTANT SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE DISTRIBUTORS, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TRANSAMERICA CAPITAL, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Primary Firm SEC Registration

LEGACY CAPITAL WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2013

Series 63

Date: 12/20/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2011

Series 6

Date: 1/4/2008

FINRA

Current Firm

LEGACY CAPITAL WEALTH PARTNERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY CAPITAL WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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