Click the points on the timeline to learn more about our history
The Legend Group is a unique investment services provider offering quality investment solutions for our clients for 50 years. We provide a wide variety of products to our clients with premier personalized service and attention. Our Financial Professionals help make investing easy. The Legend Group of Companies provide investment solutions for retirement, education savings plans, insurance needs, income generation and professional portfolio management.
Our history in the investment industry provides our clients with access to valuable experience. Having a Legend Group Financial Professional means you have help from someone concerned with your specific goals and who can assist in drafting a plan that is suited to your needs.
We foster an atmosphere of innovation, which means we constantly seek to improve our clients experience with investing. We provide you with the tools you need to easily access account information.
Why work with a Financial Professional?
Any investor, of any account size, can benefit from the guidance of a Financial Professional. Forming a partnership with a trusted Financial Professional can help investors to navigate the complex financial markets. Whether you are a beginner or have experience in the industry, The Legend Group can help.
We believe crafting an investment strategy is a team effort. Our Financial Professionals have the skills, knowledge and experience to guide you in creating and implementing an effective plan designed to reflect your unique investment goals. He or she will help you determine your risk tolerance, time horizon and investment objectives, as well as help you choose the appropriate options to help you. Your Financial Professional can meet with you periodically to review your needs and discuss any changes in your financial objectives or situation to ensure you remain on track as your plan progresses.
Enrique M. Vasquez
Chief Executive Officer
Enrique Vasquez is CEO of The Legend Group. Enrique leads the firm’s strategic direction and helps facilitate the company’s mission to provide quality investment solutions to clients of all account sizes. He fosters an atmosphere of innovation and personalized service, the foundation of The Legend Group’s 50-year history. Enrique has spent more than 25 years in the financial services industry. He has also served as a governor-appointed trustee for the Teachers Retirement System of Illinois and is on the board of Year Up Chicago, an organization that connects young adults who need opportunities with companies that need talent.
Executive Vice President
Tom Sboto is Executive Vice President of The Legend Group and is instrumental in driving the firm’s strategic initiatives. Mr. Sboto is responsible for enhancing the advisor experience through proactive programs designed to help advisors build great businesses and achieve their growth goals. His extensive knowledge of the unique nature of the independent business model allows him to work as a frontline advocate for the field’s needs. Mr. Sboto has 35 years of experience in the financial services industry, which covers managing various departments within independent broker-dealers, clearing firms, and discount firms.
Shashi Mehrotra, CFA
President and Chief Investment Officer, Legend Advisory Corporation
Shashi Mehrotra is the President and Chief Investment Officer for Legend Advisory Corporation. Mr. Mehrotra is a pioneer in the application of artificial intelligence (AI) to the field of investment management and is the chief designer of Legend’s Asset Allocation Neural Network (AANN). AANN is a sophisticated computer model that uses mathematical algorithms in attempt to forecast the relative strengths of different asset classes. Mr. Mehrotra spent over a decade on the research and testing and implementation of AANN’s state-of-the-art AI system. Mr. Mehrotra joined Legend in 1995.
President of The Legend Group/ADSERV
Miralda Gingrich is the of President of The Legend Group/ADSERV. The Legend Group/ADSERV is a member of The Legend Group of Companies and a recognized leader in retirement plan administration. Ms. Gingrich has been a dedicated Legend employee since 1989 and is responsible for many of the back office functions as well as the strategic planning of the firm. Her key role in operations management continues to be a critical part of the company's success and growth. Ms. Gingrich's leadership is responsible for many of the exciting new services and technologies Legend implements.
Jim Johnston serves as the Financial and Operations Principal for the Legend Group of Companies. In this capacity, he is responsible for overseeing the management and reporting of the organization’s finances. In addition to managing the accounting functions, he is responsible for monitoring all reporting thresholds in accordance with FINRA Rule 17a-11 and FOCUS filings. Mr. Johnston joined Legend in July 2005. Prior to joining Legend, Jim gained vast industry knowledge while worked for several corporations including State Street Bank, Sun Life of Canada, and GE Medical.
Sam Kuehn, CRCP™
Vice President and Chief Compliance Officer
Samuel A. Kuehn is Vice-President and Chief Compliance Officer of Legend Equities Corporation. Legend Equities Corporation is a FINRA member broker-dealer and a member of The Legend Group of Companies. Mr. Kuehn is responsible for the compliance, supervisory and anti-money laundering efforts of the firm’s broker-dealer. He also provides compliance oversight for registered representative training requirements and is a key member of the firm’s New Product Review committee. Mr. Kuehn has been with Legend Equities Corporation since May 2007.
Senior Vice President
Regina Rudnick serves as Senior Vice President for Legend Advisory Corporation. She leads teams responsible for relationship management, communication, education and training. She has extensive experience managing and developing customer relationships and is an active participant in new business development. Ms. Rudnick is a member of the senior leadership team responsible for product development, PR initiatives and special projects and she is charged with the duty of performing industry research to help identify emerging trends and growth opportunities within the investment community. In addition, she works closely with field leadership, individually and with various focus groups, to gauge the viability of growth opportunities, identify needs/areas of concern and maintain relationships. Ms. Rudnick joined Legend in January 1993.
Vice President and General Counsel
Dan Carlson is the Vice President and General Counsel of The Legend Group. Mr. Carlson is responsible for all legal matters pertaining to the companies. His responsibilities include managing litigation, negotiating and drafting all contracts relating to the business, managing all commercial real estate matters, advising and assisting Human Resources on employment law issues, assisting in the development of customer-facing paperwork as well as the development of new products and advisory services, providing legal/regulatory advice and assistance to Legend Equities Corporation’s (BD) Compliance Department as well as providing ongoing legal advice to senior management, with an emphasis on regulatory matters. Mr. Carlson joined Legend in 2000.
Vice President, Strategic Growth
Henry "Hank" Multala is Vice President of Strategic Growth. In this role, his responsibilities include leading The Legend Group recruiting team and overseeing lead generation and recruiting campaigns. He also manages the recruiting sales process and advisor transition program.
Hank has more than 20 years' experience in the financial services industry. Prior to joining Legend, Hank was at Lincoln Investment Planning as the national new business development manager. Prior to Lincoln, Hank founded a third-party recruiting and consulting firm focused on broker-dealers and RIA firms. He also spent three years as a top business development director at LPL where he built the New York and Vermont region. Hank has held various positions at Charles Schwab, Merrill Lynch and Morgan Stanley. In addition to his experience on the recruiting side of the securities business, Hank worked as a financial advisor for 13 years.
Assistant Vice President, Marketing
Erika DeBlasi is the Assistant Vice President of Marketing for The Legend Group of Companies. Ms. DeBlasi is responsible for the marketing, branding, advertising and marketing communication activities for the firm. She joined Legend in 2011 and led the rebranding of the firm’s multiple brands. Ms. DeBlasi provides creative direction and strategies for the company and is responsible for providing the firm’s advisors with a broad spectrum of marketing and communication tools.