MB
Matthew M. Brocker
LEGACY WEALTH
Woodbury, MN 55125
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CRD#: 6213411
MB
Professional summary
Matthew 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.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 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) 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. 2) New Life Academy; 6758 Bailey Road Woodbury, MN 55129; School; Investment Related; Member; Committee member for finance, tuition, capital expenditures, special projects, and budget; 05/04/2023; 2 hours per month; 1 hour per month during trading hours. 3) Wisdom Wellspring LLC; 683 Bielenberg Drive Suite 101 Woodbury, MN 55125; Entity Ownership; Investment Related; CEO/Owner; Receive income from Legacy Wealth Asset Management; 10/01/2023; 20 hours per month; 20 hours per month during trading hours. 4) Five Oaks Community Church; 4416 Radio Dr., Woodbury MN 55129; Church BOD; Not Investment Related; Board Member; Oversee business operations of the church & guide pastor on direction of organization; 01/01/2023; 10 hr/mo; 2 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Michael Brocker'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®
Experience
Current
February 8, 2020 - Present
LEGACY WEALTH
Office #1: 683 Bielenberg Drive Suite 101, Woodbury, MN 55125RIA
CRD#: 306732
Woodbury, MN
Current
August 1, 2014 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 683 Bielenberg Dr. Suite #101, Woodbury, MN 55125RIA
BD
CRD#: 43285
Woodbury, MN
Past
November 14, 2014 - September 16, 2020
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PORTLAND, OR
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".
LW
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.RR
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
RR
Arizona(10/29/2024)
RR
California(10/29/2024)
RR
Colorado(5/4/2016)
RR
Illinois(11/17/2015)
RR
Iowa(4/7/2016)
RR
Michigan(11/24/2015)
RR
Minnesota(8/15/2014)
IAR
Minnesota(2/8/2020)
RR
Missouri(4/7/2016)
RR
Nevada(10/29/2024)
RR
New York(5/2/2017)
RR
Ohio(11/5/2025)
RR
South Dakota(8/29/2014)
RR
Texas(10/29/2024)
RR
Virginia(5/2/2017)
RR
Washington(5/2/2017)
RR
Wisconsin(5/27/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LEGACY WEALTH
LEGACY WEALTH | LEGACY WEALTH ASSET MANAGEMENT, LLC
CRD#: 306732 / SEC#: 801-118042
RIA
Registered Investment Advisory firm - (2/7/2020 Approved)Upgrade to AdvisorCheck Premium
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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
10
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,448 |
| AUM (Assets Under Management) | $ 475,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LEGACY WEALTH
CRD#: 306732Woodbury, MN 55125TRUST BUT VERIFY
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