James Leggott has been an investment adviser representative at Ascent Advisors since December 2025, and is not listed among the firm’s executive officers or direct owners.
Ascent Advisors LLC is a Mankato, MN firm with $111M under management, 171 clients and 8 advisers across 2 offices, as of its September 2026 filing.
Jim Leggott is Financial Advisor of Ascent Advisors. He is a licensed Medicare professional and Investment Advisor Representative with 20+ years experience. His listed specialties are Medicare, financial planning and retirement planning.
James Leggott’s longest registration was 5 years at Brookstone Capital Management LLC (2019–2025). Before joining Ascent Advisors in 2025, James Leggott was registered through Corestone Wealth Management LLC and Brookstone Capital Management LLC.
- Ascent AdvisorsCurrent– present · under a yearMaple Grove, MN · Adviser representative · Firm CRD 335353
- Corestone Wealth Management LLC– · 1 yearMaple Grove, MN · Adviser representative · Firm CRD 315945
- Brookstone Capital Management LLC– · 5 yearsPlymouth, MN · Adviser representative · Firm CRD 141413
- Specialized Advisors– · under a yearWayzata, MN · Adviser representative · Firm CRD 299308
- Secure Investment Management, LLC– · 3 yearsMinnetonka, MN · Adviser representative · Firm CRD 141195
Investment adviser representative registrations
James Leggott is registered as an investment adviser representative in Minnesota, since December 2025.
- MinnesotaSince 10 December 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 5 January 2016 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 January 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 January 2003 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- James Steven Leggott
- CRD
- 2201650
- Firm
- Ascent Advisors · CRD 335353
- Office
- 7094 East Fish Lake Rd, Maple Grove, MN 55311
- Registration
- Investment adviser registration
- In the industry since
- February 2016
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ascentmn.com
Where does James Leggott work?
James Leggott is an investment adviser representative registered through Ascent Advisors LLC since December 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Leggott a financial advisor?
Yes. James Leggott has a current investment-adviser registration in Minnesota, through Ascent Advisors since December 2025.
How many years of experience does James Leggott have?
James Leggott has 10 years in the financial industry, since February 2016, across 5 adviser firms.
What exams has James Leggott passed?
James Leggott has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in January 2003. FINRA credited James Leggott with the SIE, which began in October 2018.
Where did James Leggott work before Ascent Advisors?
Before Ascent Advisors, James Leggott was registered through Brookstone Capital Management LLC, November 2019 to February 2025; Specialized Advisors, March 2019 to October 2019; Secure Investment Management, LLC, February 2016 to March 2019.
Where is James Leggott based?
James Leggott’s registered office is in Maple Grove, MN.
Is James Leggott registered with FINRA?
No. James Leggott has no current broker registration.
How can I verify James Leggott’s record?
Search CRD 2201650 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Leggott’s full registration record.
