FL
FL
Frank Legan is a registered investment advisor, based in Los Angeles, CA, with 25 years of industry experience.
Location
2121 Avenue of the Stars, Suite 1600, Los Angeles, CA, 90067
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2017Withdrawn
Other Business ActivitiesSells Insurance
Frank is involved in several outside business activities, including consulting, serving on an investment committee, insurance sales, marketing his advisory business, and authoring a book. He also holds an insurance license and is a partner at SEIA LLC, dedicating full-time hours to RIA sales and service.
Employment History
Current Registrations
Signature Estate Securities, LLCBroker
June 2024 - Present · 1 yr 11 mos
Seia
June 2024 - Present · 1 yr 11 mos
Signature Estate Securities, LLC
June 2024 - Present · 1 yr 11 mos
Previous Registrations
Cadaret Grant & CO INC
April 2021 - June 2024 · 3 yrs 2 mos
Cadaret, Grant & CO., INC.Broker
April 2021 - June 2024 · 3 yrs 2 mos
Cedar Brook Group
March 2018 - July 2024 · 6 yrs 4 mos
Securities America Advisors, INC.
April 2010 - April 2021 · 11 yrs
Securities America, INC.Broker
April 2010 - April 2021 · 11 yrs
PNC InvestmentsBroker
November 2009 - April 2010 · 5 mos
PNC Investments
November 2009 - April 2010 · 5 mos
Natcity Investments, INC.
October 2005 - November 2009 · 4 yrs 1 mo
Natcity Investments, INC.Broker
October 2005 - November 2009 · 4 yrs 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
October 2000 - October 2005 · 5 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2000 - October 2005 · 5 yrs 3 mos
State Registrations6 states
COCTFLILMAOH
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.