Stanley J. Mroz
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.
Stanley John Mroz, who also goes by Stanley John Mroz Jr, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 2000. Stanley had worked at 15 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - December 12, 2013
JERA SECURITIES, INC.
July 29, 2011 - September 3, 2015
WILLOW COVE INVESTMENT GROUP, INC.
January 29, 2010 - July 18, 2013
NEWPORT COAST SECURITIES, INC.
September 1, 2008 - January 18, 2013
SHORELINEAMBROSE ADVISORS, LLC
November 1, 2007 - July 1, 2008
TALLEY & COMPANY
June 22, 2007 - February 5, 2014
OC SECURITIES, INC.
November 3, 2006 - October 2, 2007
SHORELINEAMBROSE ADVISORS, LLC
September 8, 2006 - August 7, 2008
BRIDGEMARK CAPITAL, LP
August 31, 2006 - October 10, 2006
JCP SECURITIES
February 10, 2006 - April 24, 2007
PRIVATE EQUITY SECURITIES, INC.
October 18, 2005 - September 12, 2006
CRYSTAL COVE CAPITAL LLC
October 5, 2005 - December 31, 2010
AIS FINANCIAL, INC.
June 7, 2005 - April 28, 2006
OC SECURITIES, INC.
August 11, 2004 - November 12, 2004
ALLEGISONE SECURITIES, INC.
October 15, 2003 - June 20, 2012
REGENT CAPITAL GROUP, INC.
June 26, 2003 - December 19, 2003
ACCELERATED CAPITAL GROUP
August 3, 2000 - May 15, 2001
EQUITY TRUST ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JERA SECURITIES, INC.
CRD#: 44499 / SEC#: , 8-50711
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
