Investor Education & Protection

How We Protect Your Information

We restrict access to your personal information to only the employees of Legent and others who need to know the information to provide our financial services to you. We maintain physical, electronic and procedural safeguards in accordance with legal standards, established security standards and procedures to guard your personal information from unauthorized disclosure.

Investor Education and Protection

FINRA BrokerCheck provides certain information regarding the disciplinary history of FINRA members and their associated persons in response to written inquiries, electronic inquiries or telephone inquiries via FINRA Regulation’s toll free telephone number 1-800-289-9999.

Additional information, including a brochure describing the public disclosure program, may be obtained from the FINRA Regulation Website at www.finra.org.