Marquis C. Hammett

LEGACY CAPITAL

THE WOODLANDS, TX 77380

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CRD#: 6310524

Professional summary

Marquis Charles Hammett III, CFP®, who also goes by Chase Hammett III, Marquis Charles Hammett III, is a registered financial advisor currently at LEGACY CAPITAL located in The Woodlands, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in The Woodlands, Texas.

Marquis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Marquis has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chase Hammett Iii | Marquis Charles Hammett Iii

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.

1) PKS FINANCIAL; INVESTMENT-RELATED; 80 STATE ST, ALBANY, NY 12207; INDEPENDENT INSURANCE AGENT; 08/26/2019; 2 HOURS/MONTH; 2 HOURS/MONTH DURING TRADING; PROVIDE LIFE INSURANCE, LONG-TERM CARE AND ANNUITY PRODUCTS. 2) Legacy Capital Wealth Management LLC. Investment Related. At Registered Location. RIA. Financial Advisor. Start Date: 08/28/2024. 160 hrs/ month; all during trading hours. Provide investment advice to clients. 3) LEGACY CAPITAL TAX SERVICES, PLLC; NON INVESTMENT-RELATED;At registered location; TAX SERVICES; SOLE PROPRIETOR; 12/2022; 40 HRS/MONTH; 40 HRS/MONTH DURING TRADING HOURS; PROVIDE TAX PREPARATION, TAX PLANNING AND CONSULTING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marquis Charles Hammett III'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

August 28, 2024 - Present

LEGACY CAPITAL

Office #1: 1725 Hughes Landing Blvd., Suite 860, The Woodlands, TX 77380

RIA

CRD#: 332184

THE WOODLANDS, TX

Current

August 26, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 1725 Hughes Landing Blvd Suite 860, The Woodlands, TX 77380

CRD#: 35747

The Woodlands, TX

Past

March 19, 2020 - August 28, 2024

MAIN STREET FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 305834

THE WOODLANDS, TX

Past

August 2, 2019 - July 1, 2020

MAIN STREET FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 146118

THE WOODLANDS, TX

Past

May 2, 2016 - August 9, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

THE WOODLANDS, TX

Past

April 25, 2016 - August 9, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

THE WOODLANDS, TX

Past

July 16, 2014 - March 21, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

THE WOODLANDS, 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 CAPITAL

LEGACY CAPITAL | LEGACY CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 332184 / SEC#: 801-130850

RIA

Registered Investment Advisory firm - (8/7/2024 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

Minnesota
(8/26/2019)

New Mexico
(4/23/2025)

Texas
(8/26/2019)

IAR

Texas
(8/28/2024)

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: 4/29/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/26/2014

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: 7/16/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY CAPITAL

LEGACY CAPITAL | LEGACY CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 332184 / SEC#: 801-130850

RIA

Registered Investment Advisory firm - (8/7/2024 Approved)

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Contact information

Main Address

1725 Hughes Landing Blvd., Suite 860, The Woodlands, TX 77380

Mailing Address

Phone number

(281) 595-1996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (10/30/2025)

Regulatory assets under management

Total Number of Accounts	741
AUM (Assets Under Management)	$ 193,943,322

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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Marquis C. Hammett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marquis Charles Hammett III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MAIN STREET FINANCIAL SOLUTIONS, LLC

MAIN STREET FINANCIAL SOLUTIONS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

LEGACY CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2016

Series 63

Date: 8/26/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2014

FINRA

Current Firm

LEGACY CAPITAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY CAPITAL

TRUST BUT VERIFY

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