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Michael W Legaspi

Oppenheimer & Co. Inc.

Newport Beach, CA

Lakewood, CA

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-10-26
  • CA RA
    APPROVED
    Since 2018-10-26

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States

Lakewood, CA • 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
Wells Fargo Advisors, Llc Beverly Hills CA 12/2014 11/2016
Wells Fargo Clearing Services, Llc Beverly Hills CA 11/2016 10/2018
Oppenheimer & Co. Inc Newport Beach CA 10/2018 Present
Previous Registrations
  • 2014-12-15 → 2018-10-30
    Wells Fargo Clearing Services, Llc
    Pacific Palisades, CA
    Santa Monica, CA
    Beverly Hills, CA
    Santa Monica, CA
    Redondo Beach, CA
    El Segundo, CA
    Torrance, CA
    Los Angeles, CA
    Torrance, CA
    El Segundo, CA
  • 2012-10-01 → 2015-01-05
    J.P. Morgan Securities Llc
    San Pedro, CA
    San Pedro, CA
    Rancho Palos Verdes, CA
    Redondo Beach, CA
    Redondo Beach, CA
  • 2011-04-28 → 2012-10-01
    Chase Investment Services Corp.
    Torrance, CA
    Long Beach, CA
    San Pedro, CA
    San Pedro, CA
Other Businesses

I DO PHOTOGRAPHY & VIDEOGRAPHY FOR AMATEUR SPORTS TEAMS. MOSTLY TRAVEL/CLUB YOUTH SPORTS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-27
S63 Uniform Securities Agent State Law Examination 2010-01-11
  • S65 Uniform Investment Adviser Law Examination
    2011-04-27
  • S63 Uniform Securities Agent State Law Examination
    2010-01-11
Other Names
  • Michael Legaspi
  • Michael William Legaspi
  • Michael W Legaspi

View on SEC IAPD

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