Michael Brocker (CRD# 1951402) is an Investment Advisor Representative working at M Holdings Securities, Inc. in Portland, OR and has over 28 years of experience in the finance industry.
CRD# 4457482
Secondhalf Planning & Investment, LLC
Score
106
CRD# 5065974
Smb Financial Services, Inc.
Score
105
CRD# 2602465
Cable Hill Partners, LLC
Score
104
| Company Name | Location | Dates | Years |
|---|---|---|---|
| M Holdings Securities, Inc. | Portland, OR | Mar 2009 - Current | 9 |
| Fortune Financial Holdings LLC | Minnetonka, MN | Jun 2000 - Current | 17 |
| North Star Brokerage Inc. | Minneapolis, MN | Oct 1988 - Current | 29 |
| North Star Consultants Inc. | Minneapolis, MN | Sep 1988 - Current | 29 |
| Minnesota Life Insurance Company | St. Paul, MN | Sep 1988 - Current | 29 |
| C.r.i. Securities, Inc. | St. Paul, MN | Oct 1990 - Mar 2009 | 18 |
| Securian Financial Services, Inc. | St. Paul, MN | Oct 1990 - Mar 2009 | 18 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Aug 1989 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- MN
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Total Assets Under Management1,519MILLIONS
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Total Number of Accounts3,680ACCOUNTS
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Average Account Value$412,645
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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