Unclaimed Profile

Kim Ann Lawson

LEGACY CAPITAL GROUP CALIFORNIA, INC.·LOS GATOS, California

SIE, Series 7, Series 24, Series 63Clean record20 years registeredLEGACY CAPITAL GROUP CALIFORNIA, INC.

459 MONTEREY AVENUE, LOS GATOS, CA 95030CRD# 2190770Firm CRD# 111436

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kim Ann Lawson · LOS GATOS, CA

Registration

CRD #2190770 · LEGACY CAPITAL GROUP CALIFORNIA, INC. · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: LEGACY CAPITAL GROUP CALIFORNIA, INC.

NFP SECURITIES, INC.

Jun 2006 – May 2007

LOS GATOS, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · June 13, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LEGACY CAPITAL GROUP CALIFORNIA, INC.

CRD 111436 · SEC 801-69566

AUM

$444M

Regulatory assets under management

Employees

1,678 client accounts

Services offered by LEGACY CAPITAL GROUP CALIFORNIA, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at LEGACY CAPITAL GROUP CALIFORNIA, INC. →

Introduction

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Frequently Asked Questions

What services does Kim Ann Lawson offer?

Kim Ann Lawson specializes in Financial Planning, Investment Management, Retirement Planning.

What are Kim Ann Lawson's credentials?

Kim Ann Lawson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kim Ann Lawson located?

Kim Ann Lawson is based in LOS GATOS, California, last registered with LEGACY CAPITAL GROUP CALIFORNIA, INC..

How does Kim Ann Lawson charge for services?

Kim Ann Lawson's firm is compensated through percentage of aum, subscription fees, commissions, other: referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LEGACY CAPITAL GROUP CALIFORNIA, INC.?

LEGACY CAPITAL GROUP CALIFORNIA, INC. has approximately 18 employees and manages $444M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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