Michael J. Lorenzen

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CRD#: 1311674

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael James Lorenzen was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2016 - July 5, 2017

BLUE ROCK ADVISORS, LLC

RIA

CRD#: 281831

Wayzata, MN

Past

January 28, 2014 - March 30, 2016

BLUE ROCK ADVISORS INC

RIA

CRD#: 109488

WAYZATA, MN

Past

March 1, 2012 - November 2, 2016

BLUE ROCK GLOBAL PARTNERS, INC.

CRD#: 136259

WAYZATA, MN

Past

February 12, 2010 - March 1, 2012

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

July 14, 1999 - December 21, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

June 24, 1997 - January 19, 1999

BANC ONE CAPITAL MARKETS, INC.

CRD#: 27267

COLUMBUS, OH

Past

June 10, 1991 - March 7, 1997

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

October 26, 1984 - May 31, 1991

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/7/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/18/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/11/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/30/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BLUE ROCK ADVISORS, LLC

CRD#: 281831 / SEC#: 801-106890

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Contact information

Main Address

Excelsior, MN

Mailing Address

Phone number

(952) 229-8700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

BLUE ROCK ADVISORS, LLC FORM ADV PART 2A - JANUARY 2024 (1/31/2024)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Minnesota	ERA - Withdrawn	5/29/2024

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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Firm Stability Insights

Michael J. Lorenzen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLUE ROCK ADVISORS INC

BLUE ROCK GLOBAL PARTNERS, INC.

FUNDS DISTRIBUTOR, LLC

LEGG MASON WOOD WALKER, INCORPORATED

BANC ONE CAPITAL MARKETS, INC.

ABN AMRO SECURITIES LLC

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2010

SIE

Date: 11/2/2016

Series 3

Date: 5/18/2016

Series 7

Date: 2/11/2010

Series 24

Date: 6/30/2012

Series 8

Date: 5/30/1991

Current Firm

BLUE ROCK ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

BLUE ROCK ADVISORS, LLC

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