Adam A. Merino

LEGEND CAPITAL

NEW YORK, NY 10001

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CRD#: 5408789

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Merino'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

July 11, 2025 - Present

LEGEND CAPITAL

Office #1: 220 Fifth Avenue 17th Floor, New York, NY 10001

RIA

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

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".

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)

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 66

Date: 2/16/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2010

General Securities Representative Examination

Current Firm

LEGEND CAPITAL

LEGEND CAPITAL | LEGEND CAPITAL ADVISORS LLC

CRD#: 336029 / SEC#: 801-132909

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 234,611,344

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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Adam A. Merino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Alexander Merino's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGEND CAPITAL

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

LEGEND CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2010

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2010

Current Firm

LEGEND CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

LEGEND CAPITAL

TRUST BUT VERIFY

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