Unclaimed Profile

Regina Carbajal Legates

FIGTREE FINANCIAL ADVISORS, LLC·SANTA CLARA, California

SIE, Series 7, Series 63, Series 6527 years registeredFIGTREE FINANCIAL ADVISORS, LLC

5201 GREAT AMERICA PARKWAY, SANTA CLARA, CA 95054CRD# 3007598Firm CRD# 301517

Profile Verification

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

Identity

Regina Carbajal Legates · SANTA CLARA, CA

Registration

CRD #3007598 · FIGTREE FINANCIAL ADVISORS, LLC · 27 years registered

Brand Profile

Not yet started

Career History

FIGTREE FINANCIAL ADVISORS, LLC

Apr 2019 – present

PROSPERITY FINANCIAL GROUP, INC.

Jun 2017 – Aug 2019

Santa Clara, CA

AMERIPRISE FINANCIAL SERVICES, INC.

Feb 1999 – Jun 2017

CAMPBELL, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · February 11, 1999

Years registered · 27

Disclosure History

2008Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

FIGTREE FINANCIAL ADVISORS, LLC

CRD 301517 · SEC 801-115102

AUM

$20M

Regulatory assets under management

Employees

132 client accounts

Services offered by FIGTREE FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FIGTREE FINANCIAL ADVISORS, LLC →

Introduction

Speak with Regina

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Regina is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SANTA CLARA?

Browse all registered financial advisors in SANTA CLARA, California or claim this profile if it's yours.

Browse SANTA CLARA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Regina Carbajal Legates offer?

Regina Carbajal Legates specializes in Financial Planning, Investment Management. Contact their office in SANTA CLARA, California for a consultation.

What are Regina Carbajal Legates's credentials?

Regina Carbajal Legates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Regina Carbajal Legates located?

Regina Carbajal Legates is based in SANTA CLARA, California, working with FIGTREE FINANCIAL ADVISORS, LLC. Their office serves clients in the SANTA CLARA metropolitan area and surrounding communities.

How does Regina Carbajal Legates charge for services?

Regina Carbajal Legates's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIGTREE FINANCIAL ADVISORS, LLC?

FIGTREE FINANCIAL ADVISORS, LLC has approximately 2 employees and manages $20M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →