Carolyn M. Weeks

LEGACY FINANCIAL SERVICES GROUP

TRAVERSE CITY, MI 49684

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CRD#: 4699981

Professional summary

Carolyn Marie Weeks is a registered financial advisor currently at LEGACY FINANCIAL SERVICES GROUP, INC. located in Traverse City, Michigan.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Carolyn has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Owner of the retail store Metal Arts & Home Decor, LLC, located at 113 Park Street Suite 101A, Traverse City, MI 49684. Opening May 1, 2018 This business is non-investment related, and specializes in the sale of Metal wall art, fireplace sets, and other home decorations. The hours devoted will be on the weekends in an oversight capacity with a manager running the day to day activities of the store. No hours will be devoted during security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Marie Weeks's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 23, 2015 - Present

LEGACY FINANCIAL SERVICES GROUP, INC.

Office #1: 10691 East Carter Road Suite 101, Traverse City, MI 49684

RIA

CRD#: 140514

TRAVERSE CITY, MI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(3/23/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2015

Uniform Investment Adviser Law Examination

Current Firm

LEGACY FINANCIAL SERVICES GROUP, INC.

LEGACY FINANCIAL SERVICES GROUP, INC. | LEGACY FINANCIAL SERVICES GROUP, LLC

CRD#: 140514 / SEC#: 801-66694

RIA

Registered Investment Advisory firm - (8/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (1/5/2024 Approved)

Michigan

Registered Investment Advisory firm - (10/15/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10691 East Carter Road Suite 101, Traverse City, MI 49684

Mailing Address

Phone number

(231) 933-0631

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 104,485,756

Red Flags

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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Carolyn M. Weeks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Marie Weeks's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2015

Current Firm

LEGACY FINANCIAL SERVICES GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL SERVICES GROUP, INC.

TRUST BUT VERIFY

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