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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

MICHAEL HAROLD MROTZEK

Advisor at JANNEY MONTGOMERY SCOTT LLC

Red Bank, NJ

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Search this name across graphsid dfx:ria:24d115a4-7faa-59c4-69f3-ed53308f9359

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 2, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: JANNEY MONTGOMERY SCOTT LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 23, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 23, 1988
First registration: Jul 2, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1804417

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Mar 27, 2026	n/a	yes	Red Bank, NJ	Current employment
MORGAN STANLEY	Wirehouse	Sep 3, 2010	Apr 1, 2026	no	Red Bank, NJ\|PURCHASE, NY\|Red Bank, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 19, 2004	Sep 10, 2010	no	MANASQUAN, NJ\|MANASQUAN, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 2, 2003	Jul 21, 2004	no	MORRISTOWN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	JANNEY MONTGOMERY SCOTT LLC	Apr 1, 2026	Mar 27, 2026	-5	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 10, 2010	Sep 3, 2010	-7	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 21, 2004	Jul 19, 2004	-2	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: current employment
Mar 27, 2026 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 3, 2010 to Apr 1, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 19, 2004 to Sep 10, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 2, 2003 to Jul 21, 2004factForm ADV

Dated events

Occurred
Apr 1, 2026
Advisor changed firm
Michael Harold Mrotzek left Morgan Stanley for Janney Montgomery Scott Llc (registered 2026-03-27)
Form ADVobserved 6 days ago