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Carolyn Weeks

Chief Compliance Officer at Legacy Financial Services Group in Traverse City, MI

Investment adviser registrationUpdated

Carolyn Weeks is Chief Compliance Officer of Legacy Financial Services Group, Inc., an investment adviser managing $123M, and works from its Traverse City, MI office. Carolyn Weeks has been registered as an investment adviser representative through Legacy Financial Services Group since 23 March 2015, has 11 years in the industry across 1 firm and has passed the Series 65.

11
Years in industry
11
Years at firm
1
Adviser firms
1
States registered

From the IAPD record, checked 22 October 2026SEC record

Career

Carolyn Weeks has been Chief Compliance Officer of Legacy Financial Services Group since July 2007, is a control person of the firm and directly owns under 5% of it.

Legacy Financial Services Group, Inc. is a Traverse City, MI firm with $123M under management, 184 clients and 2 advisers across 3 offices, as of its May 2026 filing.

  1. Legacy Financial Services Group, Inc.Current
    – present · 11 years
    Traverse City, MI · Adviser representative · Firm CRD 140514

Credentials and registrations

Investment adviser representative registrations

Carolyn Weeks is registered as an investment adviser representative in Michigan, since March 2015.

  • MichiganSince 23 March 2015

Examinations

Series 6521 March 2015
Name
Uniform Investment Adviser Law Examination

Key facts

Full name
Carolyn Marie Weeks
CRD
4699981
Firm
Legacy Financial Services Group · CRD 140514
Role
Chief Compliance Officer
Office
10691 EAST CARTER ROAD, SUITE 101, Traverse City, MI 49684
Registration
Investment adviser registration
In the industry since
March 2015
Disciplinary history
Not yet shown here · SEC record

Common questions

Where does Carolyn Weeks work?

Carolyn Weeks has been Chief Compliance Officer of Legacy Financial Services Group, Inc. since July 2007, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 19 May 2026

Is Carolyn Weeks a financial advisor?

Yes. Carolyn Weeks has a current investment-adviser registration in Michigan, through Legacy Financial Services Group since March 2015.

Source: IAPD individual record, checked 22 October 2026

How many years of experience does Carolyn Weeks have?

Carolyn Weeks has 11 years in the financial industry, since March 2015, across 1 adviser firm.

Source: IAPD individual record, checked 22 October 2026

What exams has Carolyn Weeks passed?

Carolyn Weeks passed the Series 65 in March 2015.

Source: IAPD individual record, checked 22 October 2026

Where is Carolyn Weeks based?

Carolyn Weeks’ registered office is in Traverse City, MI.

Source: IAPD individual record, checked 22 October 2026

Is Carolyn Weeks registered with FINRA?

No. Carolyn Weeks has no current broker registration.

Source: IAPD individual record, checked 22 October 2026

How can I verify Carolyn Weeks’ record?

Search CRD 4699981 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carolyn Weeks’ full registration record.

Source: IAPD individual record, checked 22 October 2026

Leadership at Legacy Financial Services Group

Sources

  1. IAPD individual record, CRD 4699981, checked 22 October 2026. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Legacy Financial Services Group, Inc., filed 19 May 2026. Title, control and ownership bands.
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