Benjamin M. Brocker

LEGACY WEALTH

Woodbury, MN 55125

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CRD#: 5687239

Professional summary

Benjamin Michael Brocker, AIF® is a registered financial advisor currently at LEGACY WEALTH located in Woodbury, Minnesota and M HOLDINGS SECURITIES, INC. located in Woodbury, Minnesota.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Benjamin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

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.

1) M HOLDINGS SECURITIES, INC. INVESTMENT-RELATED; 683 BIELENBERG DRIVE, SUITE 101, WOODBURY, MINNESOTA 55125; BROKER-DEALER; REGISTERED REPRESENTATIVE; APPROX 160 HOURS PER MONTH; APPROX 130 HOURS PER MONTH DURING TRADING HOURS; SECURITIES SALES. 2) LEGACY WEALTH ASSET MANAGEMENT, LLC; 683 BIELENBERG DRIVE, SUITE 101, WOODBURY, MN 55125; 02/07/2020; FINANCIAL ADVISOR; WEALTH MANAGEMENT, FINANCIAL PLANNING SERVICES; INVESTMENT RELATED; 160 HOURS/MONTH; 160 HOURS/MONTH DURING BUSINESS HOURS; OWNERSHIP, COMMISSIONS, WAGES/SALARY/TIPS. 3) LEGACY WEALTH, LLC; INVESTMENT RELATED; 683 BIELENBERG DRIVE, SUITE 101, WOODBURY, MINNESOTA 55125; INVESTMENT STRATEGIST; FINANCIAL SERVICES; 160 HOURS PER MONTH; 160 HOURS PER MONTH DURING TRADING HOURS; COMMISSIONS/FEES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Michael Brocker's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 14, 2020 - Present

LEGACY WEALTH

Office #1: 683 Bielenberg Drive Suite 101, Woodbury, MN 55125

RIA

CRD#: 306732

Woodbury, MN

Current

March 22, 2011 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 683 Bielenberg Dr. Suite #101, Woodbury, MN 55125

RIA

CRD#: 43285

Woodbury, MN

Past

June 7, 2010 - March 17, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEGACY WEALTH

LEGACY WEALTH | LEGACY WEALTH ASSET MANAGEMENT, LLC

CRD#: 306732 / SEC#: 801-118042

RIA

Registered Investment Advisory firm - (2/7/2020 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Minnesota
(3/22/2011)

IAR

Minnesota
(2/14/2020)

Ohio
(11/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/23/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY WEALTH

LEGACY WEALTH | LEGACY WEALTH ASSET MANAGEMENT, LLC

CRD#: 306732 / SEC#: 801-118042

RIA

Registered Investment Advisory firm - (2/7/2020 Approved)

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Contact information

Main Address

683 Bielenberg Drive Suite 101, Woodbury, MN 55125

Mailing Address

Phone number

(651) 621-2383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - WRAP FEE BROCHURE - LEGACY WEALTH (3/7/2025)

FORM ADV PART 2A - FIRM BROCHURE - LEGACY WEALTH (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,448
AUM (Assets Under Management)	$ 475,000,000

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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Benjamin M. Brocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Michael Brocker's CRS (Customer Relationship Summary).

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

LEGACY WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/2010

SIE

Date: 10/1/2018

Series 7

Date: 10/31/2014

Series 6

Date: 6/5/2010

FINRA

Current Firm

LEGACY WEALTH

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY WEALTH

TRUST BUT VERIFY

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