Your accounts are in safe hands. Our client accounts (individual and institutional) are carried at Royal Bank of Canada.
On August 30, 2010, Global Finance ranked RBC #10 on its list of “50 Safest Banks”, and RBC was the top-ranked North American bank. You can view their announcement here >>
Welcome to Investor Connect, your online resource for financial news and account information.
click here >>
Mr. Unsworth has a long history of success as an investment banker, corporate finance strategist and financial services entrepreneur. He founded Legend Merchant Group in 2002. Mr. Unsworth provides the strategic vision and commitment to client service that has fueled the Legend’s rapid growth. From 1997 to 2001, Mr. Unsworth served as a founding partner and owner of Broadmark Capital. He played a key role in the expansion of Broadmark's banking, asset management and distribution businesses, which raised over $300 million in private equity for early and venture stage companies.
Prior to Broadmark, Mr. Unsworth was Senior Vice President and owner at Gilford Securities for six years, handling high net-worth, institutional equity and fixed income accounts. He held similar positions with Gruntal & Co. and Oppenheimer & Co. Throughout his career, Mr. Unsworth has been an active advisor to early-stage companies in both public and private markets.
He has also helped create shareholder value in public companies by spearheading re-capitalizations, proxy contests, and corporate strategy changes alongside owners and managers. Mr. Unsworth graduated with a B.S. in Business Administration from the University of Rhode Island. He holds Series 7, 63, 65 and 24 Registrations.
Based in New York and San Francisco, Legend Merchant Group, Inc. is a private financial services firm offering merchant and investment banking services to corporate clients, and brokerage and asset management services to high-net worth individuals. Our asset management and brokerage services team works with high net worth investors to deliver access to a wide range of financial strategies and products to balance near term liquidity requirements with long term wealth creation goals.
© 2010 Legend Merchant Group, Inc. All rights reserved.
Routing and Execution Disclosure Required under Rule 606
Rule 606 of SEC Regulation NMS requires broker-dealers such as Legend Merchant Group, Inc. to publicly disclose quarterly reports of the firm's order routing practices.
The report provides information on the routing of "non-directed orders" which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.
Legend Merchant Group, Inc. clears its securities transactions through RBC Correspondent Services. Rule 606 statistics are available here.