AM
Adam A. Merino
LEGEND CAPITAL
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 5408789
AM
Professional summary
Adam Alexander Merino, who also goes by Adam Merino, is a registered financial advisor currently at LEGEND CAPITAL located in New York, New York.
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Adam has worked at 2 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Merino
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.
*378641 ; AM Capital Ventures LLC; Investment related : Yes; San Francisco; California; Investment/Finance/Banking; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent);08/2018; During business hours: 0; After business hours: 1; Investment Decisions/Advice, Business Development/Growth * 309149 - Special Olympics New York; Investment related No; ALBANY, NY; Non-Profit, Charitable; Board Member, Finance Committee, Investment Committee, Treasurer (proprietor, partner, officer, director, employee, trustee, agent); Jan 2017; During business hours: 0; After business hours: 8; Fundraising, Business Development/Growth. *485032- Space Money Ventures I, LLC; Investment related Yes; Aventura, Florida; Investment/Finance/Banking; Member (proprietor, partner, officer, director, employee, trustee, agent); 02/2022; During business hours: 0; After business hours: 0; *491957 - Dock Drop LLC; Investment related No; South Chatham, Massachusetts; Restaurant/Bar/Nightclub; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2022; During business hours: 0; After business hours: 1; Investment Decisions/Advice *491960 - Lasuens LLC; Investment related No; Brewster, Massachusetts; Restaurant/Bar/Nightclub; Partner (proprietor, partner, officer, director, employee, trustee, agent); 04/2022; During business hours: 0; After business hours: 1; Administrative, Investment Decisions/Advice *611449- Lewis & Clark College; Investment related: No; Portland, Oregon; Education; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 10/2024; During business hours: 0; After business hours: 2; Investment Decisions/Advice, Administrative
CRS (Client Relationship Summary) - RIA
Click below to view Adam Alexander Merino'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®
NoneExperience
Current
July 11, 2025 - Present
LEGEND CAPITAL
Office #1: 220 Fifth Avenue 17th Floor, New York, NY 10001RIA
CRD#: 336029
NEW YORK, NY
Past
February 17, 2010 - March 6, 2025
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
January 18, 2010 - March 6, 2025
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
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".
LC
LEGEND CAPITAL
LEGEND CAPITAL | LEGEND CAPITAL ADVISORS LLC
CRD#: 336029 / SEC#: 801-132909
RIA
Registered Investment Advisory firm - (6/13/2025 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.Highlighted states indicate IAR registrations
IAR
California(10/5/2025)
IAR
Florida(10/7/2025)
IAR
New York(7/11/2025)
IAR
North Carolina(10/6/2025)
IAR
Oregon(10/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
LC
LEGEND CAPITAL
LEGEND CAPITAL | LEGEND CAPITAL ADVISORS LLC
CRD#: 336029 / SEC#: 801-132909
RIA
Registered Investment Advisory firm - (6/13/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
220 Fifth Avenue 17th Floor, New York, NY 10001
Mailing Address
Phone number
(212) 606-2326
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 234,611,344 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
