Unclaimed Profile

Joshua Michael Brocker

LEGACY WEALTH ASSET MANAGEMENT, LLC·WOODBURY, Minnesota

SIE, Series 7, Series 63, Series 66CFPClean record9 years registeredLEGACY WEALTH ASSET MANAGEMENT, LLC

683 BIELENBERG DRIVE, WOODBURY, MN 55125CRD# 6506504Firm CRD# 306732

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joshua Michael Brocker · WOODBURY, MN

Registration

CRD #6506504 · LEGACY WEALTH ASSET MANAGEMENT, LLC · 9 years registered

Brand Profile

Not yet started

Career History

LEGACY WEALTH

Feb 2020 – present

M HOLDINGS SECURITIES, INC.

Feb 2019 – Sep 2020

PORTLAND, OR

AMERIPRISE FINANCIAL SERVICES, INC.

Jun 2017 – Feb 2019

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 66

Registration record

First registered · June 19, 2017

Years registered · 9

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LEGACY WEALTH ASSET MANAGEMENT, LLC

CRD 306732 · SEC 801-118042

AUM

$413M

Regulatory assets under management

Employees

1,053 client accounts

Services offered by LEGACY WEALTH ASSET MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at LEGACY WEALTH ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Joshua Michael Brocker offer?

Joshua Michael Brocker specializes in Financial Planning, Investment Management. Contact their office in WOODBURY, Minnesota for a consultation.

What are Joshua Michael Brocker's credentials?

Joshua Michael Brocker holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Joshua Michael Brocker located?

Joshua Michael Brocker is based in WOODBURY, Minnesota, working with LEGACY WEALTH ASSET MANAGEMENT, LLC. Their office serves clients in the WOODBURY metropolitan area and surrounding communities.

How does Joshua Michael Brocker charge for services?

Joshua Michael Brocker's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LEGACY WEALTH ASSET MANAGEMENT, LLC?

LEGACY WEALTH ASSET MANAGEMENT, LLC has approximately 10 employees and manages $413M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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