Walter R. Grzywinski

OAK BROOK ADVISORS LTD

Charlotte, NC 28277

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CRD#: 1082642

Professional summary

Walter Russell Grzywinski is a registered financial advisor currently at OAK BROOK ADVISORS LTD located in Charlotte, North Carolina.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Walter has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

President of Oak Brook Financial Ltd, as a Licensed Insurance Agent engaged in the sale of Life, Disability, Long Term Care, and Fixed Annuity Products since 1974 with offices located at 6151 Lake Osprey Drive, 3rd Floor, Sarasota, FL 34240 and 15720 Brixham Hill Ave, Suite 300, Charlotte, NC 28277. Approximately 50% of normal business hours are devoted to these business activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Russell Grzywinski's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 5, 1998 - Present

OAK BROOK ADVISORS LTD

Office #1: 15720 Brixham Hill Ave Suite 300, Charlotte, NC 28277Office #2: 6151 Lake Osprey Drive 3rd Floor, Sarasota, FL 34240

RIA

CRD#: 118151

Charlotte, NC

Past

November 19, 1989 - May 4, 2011

OSAIC WEALTH, INC.

CRD#: 23131

CHARLOTTE, NC

Past

January 19, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 21, 1983 - February 2, 1987

CINCINNATI ANALYSTS, INC.

CRD#: 5478

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/5/2021)

IAR

Illinois
(2/5/1998)

IAR

North Carolina
(9/13/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/1992

General Securities Principal Examination

Current Firm

OAK BROOK ADVISORS LTD

CRD#: 118151 / SEC#:

Florida

Registered Investment Advisory firm - (4/5/2021 Approved)

Illinois

Registered Investment Advisory firm - (2/5/1988 Approved)

North Carolina

Registered Investment Advisory firm - (7/5/2001 Approved)

South Carolina

Registered Investment Advisory firm - (12/31/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

So. Barrington, IL

Mailing Address

Phone number

(312) 329-2000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 21,270,402

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Walter R. Grzywinski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Russell Grzywinski's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK BROOK ADVISORS LTD

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

CINCINNATI ANALYSTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/1999

Series 63

Date: 10/24/1983

Series 7

Date: 7/16/1983

Series 24

Date: 2/10/1992

Current Firm

OAK BROOK ADVISORS LTD

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OAK BROOK ADVISORS LTD

TRUST BUT VERIFY

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