Getting Started|As A Client

Getting Started As A Client





  1. Call Legend For A No Obligation Discussion
    1. During our Initial Conversation, You Will Be Invited to Tell Us About Yourself, What You Would like to Accomplish and what Types of Services You Desire.  After Listening to Your Concerns, We Will Then Describe Our Approach to Helping Clients, Describing the Services We Provide and How We Can Specifically Assist You.




  1. Post-It Note Pads on a dark wood table with text overlaying stating “Let’s get started”.After An Initial Conversation, It Is Best To Schedule A No Obligation In-Person Appointment Or Webcast.  For This Meeting/Webcast You Will Need To:
    1. Provide Legend with All Relevant Financial Documents
    2. Create a List of Your Personal Financial Priorities
    3. During the Meeting/Webcast with a Legend Advisor You Would:
      1. Share Your Documents via SafeSend and Thoughts about Your Financial Situation.  If You Provide Legend with Your Documents in Advance of the Meeting/Webcast, a Second Meeting can Usually be Eliminated.
      2. If Possible, Legend Will Provide an Overview of Your Current Investments and Financial Situation During the First Meeting/Webcast.  If Your Situation is Too Complex to Analyze During the First Meeting/Webcast, We Will Then Share Our Findings at a Second Meeting/Webcast.
      3. After Which, We Would Then Discuss Our Fees with You.
      4. Legend Will also Provide a FiduciaryxThe Department of Labor’s Definition of a Fiduciary Demands that Advisors Act in the Best Interests of their Client, and to Put their Clients’ Interests Above their Own.  It Leaves No Room for Advisors to Conceal any Potential Conflict of Interest, and States that all Fees and Commissions Must be Clearly Disclosed in Dollar Form to Clients.

        Source: Investopedia
        Oath Statement to You.





  1. 11 Steps – The Process Of Becoming A Client
  1. A senior couple meeting with a male financial advisor at a desk where the male client is looking directly at the advisor and shaking the advisor’s hand to symbolize getting started with an advisory relationship.An Investment Data Questionnaire Provided by Legend Would Then Need to be Completed.
  2. Legend Would Draft an Investment Agreement for Both Parties to Sign.
  3. Once the Investment Agreement is Returned, Legend Would Then Complete All Necessary Forms to Transfer Securities, If Applicable, to an Agreed Upon Custodian.
  4. To Become a Client, You Would Provide Legend with the Following Documents to Transfer Your Securities Accounts:
    1. All of Your Latest Actual Brokerage/Custodial Investment Statements (Computer Printouts in a Format other than a Brokerage/Custodial Investment Statement will Unfortunately not be Accepted by a New Custodian)
    2. All of Your Latest Retirement Plan Statements and Investment Options
  5. Your Latest Income Tax Return
  6. Legend Will Then Provide Each Client with the Investment Education Knowledge to Enable Sound Decisions to be Made as to Their Short-Term (Under Five Years), Intermediate Term (5 to 12 years) and Long-Term (Greater Than 12 years) Investment Goals and Corresponding Levels of Risk.
  7. Legend’s Advisory Team Will Then Review Your Personal Investment Risk Score with You So That an Appropriate Strategy can be Designed to Fit Your Investment Goals.
  8. Legend’s Advisory Team Will Discuss with You the Financial Impact of Your Proposed Investment Recommendations in Conjunction with the Resulting Income Tax Implications.
  9. Once the Investment Recommendations are Approved by You, Legend’s Advisory Team Will Then Execute Specific Securities Trades, If Appropriate, to Implement the Investment Portfolio Strategy.
  10. Legend Will Establish Various Encrypted Account Aggregation Services and Electronic Vault Features to Organize Your Financial Information.
  11. You will Receive Ongoing Personalized Online Portfolio Performance Reporting.


Please Call Legend for Additional Information at
(412) 635-9210.

Clients Can Retain Legend for Investment Management Services [Either Discretionary Investment Management or Discretionary Investment Management Consulting Services].  For More Information, Please Visit Legend’s Legend’s Investment Management / Consulting Services section.

Legend Can Also Be Retained to Provide Hourly Financial Planning Services Once the Client Retains Legend for Investment Management or Investment Consulting Services (Legend Does Not Offer Financial Planning Services Only).  For More Information, Please Visit Legend’s Financial Planning Services section.

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