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Michael Mark Brokaw

CRD# 2755476·Registered 1996 - 2019

Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael Mark Brokaw was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1996 - 2019. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

TAYLOR CAPITAL MANAGEMENT INC.·CRD# 43559

BD

Woodstock, GA

January 20, 2017 - August 7, 2019

ZEGA FINANCIAL, LLC·CRD# 156803

RIA

Omaha, NE

December 12, 2016 - September 4, 2024

BANCWEST INVESTMENT SERVICES, INC.·CRD# 29357

BD

Omaha, NE

November 30, 2012 - February 10, 2015

BELLEVUE CHICAGO, LLC·CRD# 106069

BD

Chicago, IL

March 16, 2010 - May 27, 2010

TD AMERITRADE, INC.·CRD# 7870

BD

Omaha, NE

April 22, 2006 - October 3, 2012

TD AMERITRADE CLEARING, INC.·CRD# 5633

BD

Omaha, NE

January 2, 2002 - April 22, 2006

J.P. SECURITIES, INC.·CRD# 36559

BD

Bellevue, NE

July 1, 1996 - December 31, 2001

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Current Firm

TC

TAYLOR CAPITAL MANAGEMENT INC.

TAYLOR CAPITAL MANAGEMENT INC. | TCM SECURITIES, INC.

CRD#: 43559 / SEC#: 8-50313

BD

Cancelled by SEC on 02/05/2020

Contact Information

Established

Georgia since 02/09/2011

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

Name	Position	CRD#
2 PROUD AMERICAN CORPORATION	PARENT COMPANY	—
DAUGHERTY, JASON PAUL	VICE PRESIDENT	4267059
HALE, KEVIN MATTHEW	PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	4747003
SPEARS, PRESTON AUBREY	PRESIDENT AND CCO	861779
SPEARS, PRESTON AUBREY	CHIEF FINANCIAL OFFICER	861779

Disclosures

Regulatory Event

3

Arbitration

9

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am the Director of Trading Research & Operations for ZEGA Financial, LLC, 777 South Flagler Drive, Suite 800-West Tower, West Palm Beach, Florida 33401 Investment Related-ZEGA Financial is an SEC registered Investment Adviser. The start date of my relationship with ZEGA was 5-1-2015 and duties focus on trading execution and support plus I help to refine investment strategies as they move from the incubation stage to broader distribution among clients. I devote approximately 160 hours per month during securities trading hours to these other business activities.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jun 1996About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1999About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MB

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