Michael H Legette

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

• Financial planning
• Selection of other advisers
• WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2016 → 03/2017
  Primerica Financial Services
  Raleigh, NC
• 11/2016 → 03/2017
  Pfs Investments Inc.
  Raleigh, NC
• 06/2016 → 03/2017
  Adecco/Bb&T
  Wilson, NC
• 03/2017 → 09/2018
  Scottrade, Inc.
  Garner, NC
• 11/2016 → 12/2016
  Ups United Parcel Service
  Raleigh, NC
• 02/2018 → 09/2023
  Td Ameritrade, Inc.
  Durham, NC
• 02/2018 → 09/2023
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 09/2023 → Present
  Charles Schwab & Co., Inc.
  Cary, NC
• 09/2023 → Present
  Charles Schwab Bank, Ssb
  Cary, NC

Previous Registrations

• 2018-02-26 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Raleigh, NC
  Cary, NC
• 2018-02-27 → 2022-10-14
  Td Ameritrade, Inc.
  Durham, NC
  Raleigh, NC
  Cary, NC
• 2017-03-16 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO
• 2016-12-12 → 2017-03-20
  Pfs Investments Inc.
  Raleigh, NC
  Wayne, NJ
• 2014-06-11 → 2014-12-16
  Insight Securities, Inc.
  Highland Park, IL
• 2010-08-12 → 2010-08-16
  J.P. Morgan Clearing Corp.
  New York, NY
• 2009-07-20 → 2010-01-26
  Edward Jones
  Rocky Mount, NC
  St Louis, MO
• 2007-12-11 → 2009-04-21
  Hsbc Securities (Usa) Inc.
  Rochester, NY
  Rochester, NY
• 2007-05-29 → 2007-09-05
  Morgan Stanley & Co. Llc
  Rochester, NY

Other Businesses

Name of Outside Business:Motivational Speaker; Investment Related:Yes; Address of Outside Business:Durham, NC; Nature of Outside Business:Non-profit group; Position:Speaker; Start Date:7/29/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Periodically, I am ask to speak at various religious, and community based organizations, about being a good steward of their personal finances and what does a financial services career encompass. My audience consist of young adults, and teens, professsional and non-professionals that come from various industries. The talk is very general, how did I get into the financial services industry, what are my responsiblities in my role to my clients, the impact on peoples lives, why its important to be financially aware of the decisions that they make and why it is important to save and also to invest for one's future. I would not be representing TD Ameritrade. I would be speaking to a group of young people about my personal and professional knowledge, outlining the steps that Iead to me having a career in financial services. I would only mention TD Ameritrade, as my employer.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-03-12
• S63 Uniform Securities Agent State Law Examination
  1998-07-21

Other Names

• Michael Legette
• Michael Legette
• Michael Hunt Legette