Joseph M. Mrozienski

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CRD#: 2921777

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.

Joseph Mark Mrozienski, who also goes by Joe Mrozienski, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 13 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Mrozienski

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.

EQIS Capital Management Inc. Advisor Consulting. 1000 4th Street, Suite 650, San Rafael, CA 94901. Finish the Wall, non-investment related, 10801 Johnston Road, Ste 105, Charlotte NC 28226, non-profit ministry dedicated to completing unfinished churches and other humanitarian efforts, board member, started 5/1/19, 0 hours per month, none during trading hours, board member. EQIS Capital Management Inc. Advisor Consulting. Full Time. 1000 4th Street, Suite 650 San Rafael, CA 94901. Mrozienski Partners LLC (DBA: Be Healthy Carolinas), non-investment related, 3513 Ringtail Dr, Waxhaw, NC 28173, snack food vending, owner, started snack food vending 11/1/19, 0 hours per month, none during trading hours, owner; Mrozienski Partners LLC, non-investment related, 3513 Ringtail Dr, Waxhaw, NC 28173, land sales, owner, started land sales 6/1/2020, 0 hours per month, none during trading hours, owner.

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

January 17, 2025 - May 22, 2025

CAUSEWAY SECURITIES LLC

CRD#: 315829

NEW YORK, NY

Past

September 16, 2022 - July 1, 2024

CCO CAPITAL, LLC

CRD#: 31147

PHOENIX, AZ

Past

January 20, 2021 - September 6, 2022

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

April 1, 2020 - September 2, 2022

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

WAXHAW, NC

Past

July 10, 2013 - July 25, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

July 5, 2013 - July 25, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

October 4, 2012 - May 14, 2013

TSC DISTRIBUTORS, LLC

CRD#: 37058

BOSTON, MA

Past

April 27, 2012 - October 5, 2012

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

August 22, 2011 - March 2, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

CHARLOTTE, NC

Past

July 18, 2011 - March 2, 2012

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

March 23, 2007 - July 11, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 10, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 10, 2005 - October 17, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SYRACUSE, NY

Past

May 7, 2002 - January 3, 2005

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

November 17, 1997 - April 29, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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

IAR

Series 66

Date: 8/17/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

845 3rd Ave, Floor 6, New York, NY 10022

Mailing Address

845 3rd Ave, Floor 6, New York, NY 10022

Phone number

(224) 370-3769

Established

Florida since 06/25/2021

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAUSEWAY SECURITIES LIMITED	MEMBER
BRUDIE, DONALD THOMAS JR	CEO	2443236
GRAY, BENJAMIN NMN	CCO	1946982
ROTHENBERG, SHARI P	CFO	6590875

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

Joseph M. Mrozienski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CCO CAPITAL, LLC

PORTSMOUTH FINANCIAL SERVICES

FREEDOM INVESTMENT MANAGEMENT, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TSC DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2011

Series 63

Date: 11/15/1997

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2011

Series 6

Date: 11/14/1997

Current Firm

CAUSEWAY SECURITIES LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAUSEWAY SECURITIES LLC

TRUST BUT VERIFY

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