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Detailed Report
AMY GAIL LEGATE
AMY GAIL PHILLIPS
CRD#: 4570551
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5300 Town & Country Blvd, Ste 160
Frisco, TX 75034
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BLPL FINANCIAL LLC (CRD# 6413)2013 - 2019 (5 years)BAUSDAL FINANCIAL PARTNERS, INC. (CRD# 7995)2012 - 2013 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2003 - 2012 (9 years)IA360 WEALTH MANAGEMENT, LLC (CRD# 164109)2016 - 2019 (2 years)IALPL FINANCIAL LLC (CRD# 6413)2013 - 2017 (3 years)IACFO4LIFE, L.P. (CRD# 146904)2009 - 2013 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2004 - 2012 (8 years)
License(s)

State Registrations

B
Arizona 10/4/2023
B
New Jersey 10/4/2023
B
California 10/4/2023
B
New Mexico 10/4/2023
B
Colorado 10/4/2023
IA
New Mexico 12/1/2023
B
Florida 10/4/2023
B
Ohio 10/4/2023
B
Georgia 10/4/2023
B
Texas 10/4/2023
B
Illinois 10/4/2023
IA
Texas 10/4/2023
B
Massachusetts 10/4/2023
B
Virginia 10/4/2023
B
Nevada 10/4/2023
B
Washington 10/4/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5300 Town & Country Blvd, Ste 160, Frisco, TX 75034
5300 TOWN & COUNTRY BLVD STE 160, FRISCO, TX 75034
Registered with this firm since 10/4/2023
B
LPL FINANCIAL LLC (CRD#:6413)
5300 Town & Country Blvd, Ste 160, Frisco, TX 75034
5300 TOWN & COUNTRY BLVD STE 160, FRISCO, TX 75034
Registered with this firm since 10/4/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/11/2019 - 10/05/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Frisco, TX
B
 01/11/2019 - 10/05/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Frisco, TX
B
 08/09/2013 - 01/22/2019 LPL FINANCIAL LLC (CRD#:6413) FRISCO, TX
IA
 11/08/2016 - 01/11/2019 360 WEALTH MANAGEMENT, LLC (CRD#:164109) Frisco, TX
IA
 08/23/2013 - 02/16/2017 LPL FINANCIAL LLC (CRD#:6413) FRISCO, TX
IA
 03/19/2009 - 07/17/2013 CFO4LIFE, L.P. (CRD#:146904) COPPELL, TX
B
 09/17/2012 - 07/09/2013 AUSDAL FINANCIAL PARTNERS, INC. (CRD#:7995) COPPELL, TX
IA
 09/10/2004 - 09/26/2012 LPL FINANCIAL LLC (CRD#:6413) COPPELL, TX
B
 09/17/2003 - 09/26/2012 LPL FINANCIAL LLC (CRD#:6413) COPPELL, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.