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Daniel Robert Legault

Mariner Independent

East Greenwich, RI

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Current Employers
Mariner Independent

5700 West 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2022-03-01
  • RI RA
    APPROVED
    Since 2022-03-01

Branch Locations

650 Main St., East Greenwich, RI 02818 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Strategicpoint Investment Advisors Providence RI 12/2006 11/2017
Kolb Wealth Management, Llc East Greenwich RI 01/2017 02/2017
Adviceperiod, Llc East Greenwich RI 11/2017 03/2022
Mariner Platform Solutions East Greenwich RI 03/2022 Present
  • 12/2006 → 11/2017
    Strategicpoint Investment Advisors
    Providence, RI
  • 01/2017 → 02/2017
    Kolb Wealth Management, Llc
    East Greenwich, RI
  • 11/2017 → 03/2022
    Adviceperiod, Llc
    East Greenwich, RI
  • 03/2022 → Present
    Mariner Platform Solutions
    East Greenwich, RI
Previous Registrations
  • 2017-12-12 → 2022-03-30
    Adviceperiod, Llc
    East Greenwich, RI
    East Greenwich, RI
  • 2007-03-15 → 2017-11-07
    Strategicpoint Investment Advisors Llc
    Providence, RI
  • 2017-01-31 → 2017-02-02
    Wickford Wealth Management, Llc
    North Kingstown, RI
  • 2004-05-28 → 2006-12-31
    Legault Financial Planning, Inc.
    West Greenwich, RI
  • 2001-06-15 → 2002-06-26
    Waddell & Reed
    Warwick, RI
Other Businesses

1661 Wealth Management; created to draw income; start date 03/2022

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-01
  • S66 Uniform Combined State Law Examination
    2001-06-01
Designations

View on SEC IAPD

Other Firms

EQUITABLE ADVISORS, LLC
EDWARD JONES
SANTANDER SECURITIES LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
HORACE MANN INVESTORS, INC.
AXIS WEALTH PARTNERS, LLC
FORBES FINANCIAL PLANNING, INC.
LINCOLN CAPITAL CORPORATION

Other Investors

JOSHUA JOHN PARADIS
MICHAEL STEVEN GRAZIANO
Ryan Edward Gaumond
ERIK M WILCOX
Anthony Michael Lizzi
Michael Barrett
JANET MARIE GOULART
ALEX ZELCK SMITH

Other Offices

EQUITABLE ADVISORS, LLC · EAST GREENWICH, RI
EDWARD JONES · East Greenwich, RI
SANTANDER SECURITIES LLC · EAST GREENWICH, RI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · East Greenwich, RI
HORACE MANN INVESTORS, INC. · East Greenwich, RI
AXIS WEALTH PARTNERS, LLC · East Greenwich, RI
FORBES FINANCIAL PLANNING, INC. · EAST GREENWICH, RI
LINCOLN CAPITAL CORPORATION · EAST GREENWICH, RI

More in East Greenwich, RI

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