Lucas R. Mroz

VANTAGE POINT FINANCIAL

LISLE, IL 60532

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CRD#: 5725399

Professional summary

Lucas R Mroz, who also goes by Luke R Mroz, Luke Mroz, is a registered financial advisor currently at VANTAGE POINT FINANCIAL, LLC located in Lisle, Illinois.

Lucas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Lucas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Luke R Mroz | Luke Mroz

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) - RIA

Click below to view Lucas R Mroz's CRS (Customer Relationship Summary).

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

July 23, 2026 - Present

VANTAGE POINT FINANCIAL, LLC

Office #1: 2443 Warrenville Road Suite 150, Lisle, IL 60532

RIA

CRD#: 305016

LISLE, IL

Past

July 7, 2015 - October 22, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Chicago, IL

Past

November 29, 2012 - October 22, 2024

MORGAN STANLEY

CRD#: 149777

Chicago, IL

Past

March 31, 2011 - May 5, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

SCHAUMBURG, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANTAGE POINT FINANCIAL, LLC

VANTAGE POINT FINANCIAL LLC | VANTAGE POINT FINANCIAL, LLC

CRD#: 305016 / SEC#: 801-122708

RIA

Registered Investment Advisory firm - (11/17/2021 Approved)

Illinois

Registered Investment Advisory firm - (11/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2021 Terminated)

Missouri

Registered Investment Advisory firm - (11/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/29/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(7/23/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/7/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/30/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VANTAGE POINT FINANCIAL, LLC

VANTAGE POINT FINANCIAL LLC | VANTAGE POINT FINANCIAL, LLC

CRD#: 305016 / SEC#: 801-122708

RIA

Registered Investment Advisory firm - (11/17/2021 Approved)

Illinois

Registered Investment Advisory firm - (11/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2021 Terminated)

Missouri

Registered Investment Advisory firm - (11/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/29/2021 Terminated)

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Contact information

Main Address

2443 Warrenville Road Suite 630, Lisle, IL 60532

Mailing Address

Phone number

(331) 204-6212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,647
AUM (Assets Under Management)	$ 430,712,898

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

Lucas R. Mroz

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas R Mroz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

VANTAGE POINT FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2015

Series 63

Date: 3/15/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2012

Series 6

Date: 3/30/2011

Current Firm

VANTAGE POINT FINANCIAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE POINT FINANCIAL, LLC

TRUST BUT VERIFY

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