Mark Bloom: Legacy Capital Advisor Faces $100K Complaint

A recent investor complaint against Atlanta, Georgia financial advisor Mark Bloom (CRD# 6933619) alleges that his conduct led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services, doing business as Legacy Capital Advisors.

Mr. Bloom’s BrokerCheck report discloses one investor complaint. Filed in February 2024, it alleges that as a representative of Avantax Investment Services, he caused the investor to incur a loss in connection with a structured note investment “despite market conditions being relatively stable.” The pending complaint alleges damages of $100,000.

Legacy Capital Advisors’ website includes a profile of Mr. Bloom that describes him as a wealth manager at the firm. “Prior to joining Legacy Capital Advisors, LLC, Mark was associated with a Fortune 500 company as a financial advisor, where he worked with families, business owners, and athletes to create and implement holistic financial strategies to pursue their goals,” the profile states. “Mark holds FINRA registrations Series 7 through LPL Financial and Series 66 through LPL and IFG Advisory, as well as Life, Health, Disability and Long Term Care insurance licenses.”

According to the Financial Industry Regulatory Authority, Mark Bloom holds five years of securities industry experience. Based in Atlanta, Georgia, he has been a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services since 2021, doing business as Legacy Capital Advisors. His past registrations include LPL Financial (Atlanta, Georgia; 2020-2021), IFG Advisory (Atlanta, Georgia; 2020-2021), and Edward Jones (Atlanta, Georgia; 2018-2020). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Louisiana, Maine, Nevada, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, West Virginia, and Wisconsin. (Information current as of March 24, 2024.)

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