BB
CFA
BB
CFA

Benjamin Michael Brocker

15 Years of Experience
Broker
Areas of Practice
Investment ManagementSocially Responsible InvestingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
445 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$475.0M

Fee Structure

Minimum Investment:$150K
Financial Planning:Investment management only
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Location

683 Bielenberg Drive, Suite 101, Woodbury, MN, 55125

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Benjamin is a registered representative with M Holdings Securities, Inc., focusing on securities sales and spending nearly full-time on this role. He is also a financial advisor with Legacy Wealth Asset Management, LLC and an investment strategist with Legacy Wealth, LLC, dedicating nearly full-time hours to each of these roles as well.

Employment History
Current Registrations
Legacy Wealth
February 2020 - Present · 6 yrs
M Holdings Securities, INC.Broker
March 2011 - Present · 14 yrs 11 mos
Previous Registrations
MML Investors Services, LLCBroker
June 2010 - March 2011 · 9 mos
State Registrations2 states
MNOH
AdvisorBrokerBoth
Exams
No exam information available for this advisor.