Joshua M. Brocker

LEGACY WEALTH

Woodbury, MN 55125

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CRD#: 6506504

Professional summary

Joshua Michael Brocker, AIF®, CFP®, who also goes by Joshua Michael Brocker Mr., Joshua Michael Brocker, is a registered financial advisor currently at LEGACY WEALTH located in Woodbury, Minnesota and M HOLDINGS SECURITIES, INC. located in Woodbury, Minnesota.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Joshua has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Michael Brocker Mr. | Joshua Michael Brocker

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 Rd Woodbury, MN 55129; Private School; Investment Related; Committee Member; Brainstorm and plan fundraising events and help with foundation investments; 05/01/2022; 2 hours per month; 0 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua 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

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

February 7, 2020 - Present

LEGACY WEALTH

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

RIA

CRD#: 306732

Woodbury, MN

Current

February 19, 2019 - Present

M HOLDINGS SECURITIES, INC.

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

RIA

CRD#: 43285

Woodbury, MN

Past

February 19, 2019 - September 16, 2020

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

PORTLAND, OR

Past

June 19, 2017 - February 14, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

August 1, 2016 - February 14, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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
(2/19/2019)

IAR

Minnesota
(2/7/2020)

Ohio
(11/5/2025)

Wisconsin
(10/29/2024)

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

IAR

Series 66

Date: 2/3/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/2017

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: 8/1/2016

General Securities 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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Firm Stability Insights

Joshua M. Brocker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEGACY WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2017

Series 63

Date: 1/20/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/1/2016

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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