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AA

Alexander E. Autin

LEGACY CAPITAL FUND
METAIRIE, LA 70005
Some features on this profile are disabled
CRD#: 6953740
AA

Professional summary

Alexander Edwards Autin, who also goes by Alex Edwards Autin, is a registered financial professional currently at LEGACY CAPITAL FUND, INC. located in Metairie, Louisiana.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2018. Alexander has worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Edwards Autin

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) - BD

Click below to view Alexander Edwards Autin'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

September 7, 2018 - Present

LEGACY CAPITAL FUND, INC.

Office #1: 433 Metairie Rd. Suite 405, Metairie, LA 70005
BD
CRD#: 39179
METAIRIE, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Louisiana
(9/7/2018)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/7/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LEGACY CAPITAL FUND, INC.
LEGACY CAPITAL | LEGACY CAPITAL FUND, INC.

CRD#: 39179 / SEC#: , 8-48568

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
433 Metairie Rd Ste 405, Metairie, LA 70005
Mailing Address
433 Metairie Rd Ste 405, Metairie, LA 70005
Phone number
(504) 837-3450
Established
Louisiana since 06/22/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PORTER, CHARLES DARDENGENERAL PRINCIPAL/CFO3127864
VANMETER, MARIANNE MATTINGLYPRESIDENT/CCO1512218

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.

Company Information

LEGACY CAPITAL FUND, INC.

CRD#: 39179Metairie, LA 70005

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