Unclaimed Profile

Michael Douglas Brocker

LEGACY WEALTH ASSET MANAGEMENT, LLC·WOODBURY, Minnesota

SIE, Series 6, Series 7, Series 24, Series 63ChFC22 years registeredLEGACY WEALTH ASSET MANAGEMENT, LLC

683 BIELENBERG DRIVE, WOODBURY, MN 55125CRD# 1951402Firm CRD# 306732

Profile Verification

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

Identity

Michael Douglas Brocker · WOODBURY, MN

Registration

CRD #1951402 · LEGACY WEALTH ASSET MANAGEMENT, LLC · 22 years registered

Brand Profile

Not yet started

Career History

LEGACY WEALTH

Feb 2020 – present

M HOLDINGS SECURITIES, INC.

Nov 2013 – Sep 2020

PORTLAND, OR

M HOLDINGS SECURITIES, INC.

Jul 2009 – Nov 2013

PORTLAND, OR

CRI SECURITIES, LLC

Feb 2008 – Mar 2009

MINNETONKA, MN

MARATHON ADVISORS, INC

Sep 2003 – Dec 2007

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Registration record

First registered · September 26, 2003

Years registered · 22

Professional designation · ChFC

Disclosure History

2018Customer Dispute·Denied

2017Customer Dispute·Denied

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

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 Michael Douglas Brocker offer?

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

What are Michael Douglas Brocker's credentials?

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

Where is Michael Douglas Brocker located?

Michael Douglas 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 Michael Douglas Brocker charge for services?

Michael Douglas 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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