Lawrence M. Mroczkowski

VALLEY WEALTH MANAGEMENT

OSHKOSH, WI 54904

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CRD#: 5136091

Professional summary

Lawrence Michael Mroczkowski, who also goes by Lawrence Michael Mroczkowdki, Larry Mroczkowski, is a registered financial advisor currently at VALLEY WEALTH MANAGEMENT located in Oshkosh, Wisconsin and LPL FINANCIAL LLC located in Oshkosh, Wisconsin.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Lawrence has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lawrence Michael Mroczkowdki | Larry Mroczkowski

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.

1. 03/03/2022 - Valley Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Owner - Start Date - 03/31/2022 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 05/31/2022 - LarJen LLC - Investment Related - Home Based - Real Estate Rental - Start Date - 07/01/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading. 3.10/20/2023 - Valley Wealth Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/09/2023 - 160 Hours Per Month/ 120 Hours During Trading - I provide investment advisory services through Valley Wealth Management, an independent investment advisor firm. I started this business activity in 10/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Michael Mroczkowski'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

October 5, 2023 - Present

VALLEY WEALTH MANAGEMENT

Office #1: 509 S Washburn St, Oshkosh, WI 54904

RIA

CRD#: 327845

OSHKOSH, WI

Current

June 26, 2014 - Present

LPL FINANCIAL LLC

Office #1: 509 S Washburn St, Oshkosh, WI 54904

RIA

CRD#: 6413

Oshkosh, WI

Past

June 26, 2014 - February 8, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

OSHKOSH, WI

Past

February 7, 2014 - June 16, 2014

LANDOLT SECURITIES, INC.

RIA

CRD#: 28352

OSHKOSH, WI

Past

January 2, 2014 - June 16, 2014

LANDOLT SECURITIES, INC.

CRD#: 28352

OSHKOSH, WI

Past

October 25, 2011 - November 15, 2013

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

Past

April 25, 2006 - October 21, 2011

ECHOTRADE LLC

CRD#: 42239

PHOENIX, AZ

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/11/2024)

Florida
(1/8/2024)

Illinois
(1/11/2024)

Indiana
(1/11/2024)

Louisiana
(3/1/2024)

Minnesota
(1/8/2024)

Wisconsin
(6/26/2014)

IAR

Wisconsin
(10/5/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/7/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/22/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/28/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/21/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VALLEY WEALTH MANAGEMENT

VALLEY WEALTH MANAGEMENT | VALLEY WEALTH MANAGEMENT LLC

CRD#: 327845 / SEC#:

Wisconsin

Registered Investment Advisory firm - (9/22/2023 Approved)

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Contact information

Main Address

509 S Washburn St, Oshkosh, WI 54904

Mailing Address

Phone number

(920) 966-9520

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	507
AUM (Assets Under Management)	$ 93,820,869

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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Advisor Monitoring

Firm Stability Insights

Lawrence M. Mroczkowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Michael Mroczkowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LANDOLT SECURITIES, INC.

LANDOLT SECURITIES, INC.

ECHOTRADE LLC

ECHOTRADE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/22/2005

Series 4

Date: 5/28/2014

Series 24

Date: 9/21/2013

FINRA

Current Firm

VALLEY WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VALLEY WEALTH MANAGEMENT

TRUST BUT VERIFY

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