Lawrence Michael Mroczkowski
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lawrence Michael Mroczkowdki, Larry Mroczkowski
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
VALLEY WEALTH MANAGEMENT | VALLEY WEALTH MANAGEMENT LLC
Contact Information
Main Address
509 S Washburn St, Oshkosh, WI 54904Phone Number
(920) 966-9520# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
513AUM (Assets Under Management)
$111,533,034Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
VALLEY WEALTH MANAGEMENT | VALLEY WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(1/11/2024)
(1/8/2024)
(1/11/2024)
(1/11/2024)
(3/1/2024)
(1/8/2024)
(6/26/2014)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Michael Mroczkowski's CRS (Customer Relationship Summary).
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