Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucas? Claim Your ProfileLucas Mroz is a financial advisor in Chicago, Illinois and has been in the industry since October 23, 2012. Lucas is currently registered with Morgan Stanley. Lucas is also registered in 52 states, including Illinois and Texas. Lucas has a Series 6, 7, 63, and 65 licenses. Lucas is an active investment advisor representative (IAR) and has been providing investment advice since 2015. Lucas Mroz is also registered with FINRA. Prior to joining Morgan Stanley, Lucas worked at NYLIFE SECURITIES LLC. Lucas provides financial planning, portfolio management, and other investment advisory services to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
11/29/2012 - Present
Morgan Stanley (Chicago IL)
IL
03/31/2011 - 05/05/2011
NYLIFE SECURITIES LLC (SCHAUMBURG IL)
IA
Issued 07/07/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2012
Series 7 - General Securities Representative Examination
BC
Issued 03/30/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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