Michael Douglas Brocker
Investment Adviser Representative at Legacy Wealth
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Michael Douglas Brocker is an investment adviser representative with Legacy Wealth in Woodbury, MN, where they have been registered since 2020. They have worked in the securities industry since 1989 and have been registered with 4 firms, including M Holdings Securities, Inc. and CRI Securities, LLC. They have passed 5 industry qualification exams, including the Series 7 (general securities representative), Series 24 (general securities principal), and Series 63 (state securities agent). They are registered to provide investment advice in Minnesota.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Minnesota
- Broker:
22 states and territories
California, Colorado, Delaware, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, Missouri, Nebraska, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, South Dakota, Texas, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Minnesota LIFE Insurance CompanySep 1988 – no end date reportedSt. Paul, MN
- M Holdings Securities, Inc.Apr 2009 – no end date reportedPortland, OR
- Legacy Wealth, LLCApr 2009 – no end date reportedWoodbury, MN
- Legacy Wealth Asset Management, LLC DBA Legacy WealthFeb 2020 – no end date reportedWoodbury, MN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Legacy Wealth
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $150,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Wealth Management (serving as fiduciary with a comprehensive, customized approach), Legacy Planning (helping clients build and transition their legacy of wisdom and faithfulness to family and ministries), and Portfolio Strategy (aligning portfolio management with clients' unique circumstances and a values-driven approach).
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 5
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Woodbury, MN
- Founded:
- 2009
- SEC file number:
- 801-118042
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 13, 2026
View full firm profileOther advisors at Legacy Wealth
4 other advisors in the directory
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Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Douglas Brocker has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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